Senior Assistant General Counsel
4 weeks ago
Stephens Inc. is seeking a highly skilled Senior Assistant General Counsel to join our team. The ideal candidate will have a Juris Doctorate (J.D.) degree and 3+ years of related experience in law. The successful candidate will be responsible for monitoring applicable laws and regulations, advising senior management, and recommending policy revisions. Additionally, they will interact with other personnel, investigate regulatory inquiries, and provide legal review and approval for communications. The selected candidate will also assist with the design and implementation of longer-term projects and analyses, and select and manage outside counsel. If you have a strong background in law and excellent communication skills, we encourage you to apply for this exciting opportunity.
Responsibilities
Monitor applicable laws and regulations affecting assigned areas, including the Investment Advisers Act of 1940 and related SEC rules, FINRA rules, and ERISA law and regulations.
Advise senior management as necessary on legal matters.
Recommend and assist in revising Firm policies and procedures based on legal opinion.
Respond to complex requests for legal advice from Firm personnel.
Interact with other Stephens personnel on legal matters.
Investigate and draft responses to regulatory inquiries.
Respond to document requests and subpoenas.
Provide legal review and approval for communications to the public.
Assist with the design and implementation of longer-term projects and analyses.
Select and manage outside counsel.
Requirements
Juris Doctorate (J.D.) degree from an accredited American Bar Association Law School and in good standing with the Bar of any U.S. State.
3+ years of related experience and/or training.
Equivalent combination of education and experience.
About Stephens Inc.
Stephens Inc. is a leading financial services firm dedicated to providing exceptional service to our clients. We are committed to fostering a culture of excellence, integrity, and teamwork. If you are a motivated and talented individual who is passionate about law, we encourage you to join our team and contribute to our success.
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