Legal Counsel - Stockbroking And Wealth Management
Detalhes do emprego
Legal Counsel - Stockbroking and Wealth Management
JS Careers
is currently working with a leading full service wealth management and advisory firm in their search to appoint an outstanding lawyer to their legal team. Reporting to the General Counsel, the successful candidate will have extensive experience in either wealth management (financial advice or private banking), stockbroking or more general financial services.This role will work closely closely with stakeholders across all areas of the firm in providing commercially orientated legal advice in relation to its institutional and retail broking and private wealth advisory services. Furthermore, the successful candidate will play a key role in providing legal support to the regulatory compliance team.Role responsibilities:Contract reviews, drafting and negotiation e.g. employment agreements, confidentiality agreements, administration agreements, technology agreements, service provider agreements, corporate sponsorship agreements etc.;Legal advice on regulatory matters e.g. Ch7 of the Corporations Act, AML, Privacy etcLiaising with external counsel on more complex legal matters;Document review and drafting e.g. PDSs, FSGs, Application Forms;Adviser and investor communication reviews;Product and services documentation including product feature T&Cs, fee disclosure advice and disclosure document drafting;Providing or overseeing company secretarial work, board paper reviews and drafting;Maintenance and oversight of complaints.Candidates will be considered from:Top tier commercial law firms - with a private wealth, stockbroking, trading or banking sector expertise;In-house legal teams - within wealth management, stockbroking or the broader banking sector.Candidates must also have the following:Bachelor of Laws;4+ years PQE with extensive experience within financial services, stockbroking or wealth management;A thorough understanding of the Australian financial services legal environment, Corporations Act and broader regulatory guidelines;An ability to operate autonomously and to apply sound commercial and risk judgement to various situations;A 'can-do' and roll up your sleeves attitude;Outstanding collaboration and interpersonal skills.Your application will include the following questions:
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