Full Job Description
As a Wealth Management AttorneyInvestment ProductsAssistant General Counsel, Vice President in Wealth Management Legal, you provide practical, solutions-oriented legal guidance on investment products, including investment advisory and brokerage products. You partner closely with business stakeholders and collaborate with Compliance, Risk, and Controls to support effective risk management and regulatory compliance. Working with a global Legal Department, we help safeguard the integrity of the firm while supporting clients and the businesses we advise. In this role, you will be valued for sound judgment, clear communication, responsiveness, and your ability to build strong working relationships.
Job responsibilities
3Adviseon investment products distributedby JPMorganWealth Management, with a primary focus on broker-dealer and investment advisory matters.
3Supportadvisory and brokerage product offerings, including product development and enhancements, distribution and platform considerations, marketing and communications, disclosures, agreements, and ongoing governance.
3Interpretand apply requirements under the Investment Advisers Act of 1940, the Investment Company Act of 1940, Financial Industry Regulatory Authority(FINRA)rules, and federal and state securities laws.
3Delivertimely, practical legal counsel that reflects business priorities and appropriately balances risk and business needs.
3Collaboratewith Wealth Management attorneys and other Legal teams to provide coordinated legal support.
3Partnerwith Compliance, Risk, and Controls to support risk management, regulatory compliance, and control design and implementation, as appropriate.
3Identifylegal and related risks affecting investment products, advisory programs, and brokerage services.
3Assessanddocumentlegal and related risks andsupportrisk management processes and governance.
3Buildandmaintainstrong working relationships with business colleagues and control partners as a responsive, solutions-oriented advisor.
3Contributeto special projects and initiatives beyond core responsibilities, as needed.
3Adaptto evolving business needs and priorities in a dynamic environment.
Required qualifications, capabilities, and skills
3Juris Doctor degree and active license to practice law in at least one United States jurisdiction.
3Minimum 5 years of legal practice experience, including relevant experience in financial services, wealth management, broker-dealer, investment advisory, and/or asset management.
3Demonstrated experience advising on broker-dealer and/or investment advisory matters and investment products.
3Working knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and Financial Industry Regulatory Authority rules, including familiarity with Regulation Best Interest.
3Demonstrated ability to manage multiple issues in a fast-paced environment, prioritize effectively, and exercise sound judgment.
3Demonstrated ability to understand business needs and provide practical, commercially minded legal advice.
3Demonstrated ability to build and maintain effective working relationships with clients and colleagues.
Preferred qualifications, capabilities and skills
3Experience advising on Investment Company Act of 1940 registered funds and/or registered fund distribution.
All candidates for roles in the Legal department must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment. Attorney must be licensed to practice law and a member in good standing in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction.
