Assistant General Counsel, Fixed Income Capital Markets

at  Raymond James Financial Inc

JOB SUMMARY

This position provides comprehensive legal support for the Fixed Income Capital Markets division of Raymond James (FICM). Legal matters are primarily transactional, in support of the institutional FICM sales and trading desks and underwriting and investment banking, but also includes support on litigation or regulatory matters. Transactional matters include drafting, reviewing, and advising on a variety of agreements ranging from NDAs and engagement letters to more complex securities transaction-related documents, including MSFTAs, MSDAs, or securitization documents. May lead major projects, programs or processes with significant business impact involving cross-functional teams. Provides comprehensive solutions to complex problems or needs and operates with a high level of autonomy. Extensive contact with internal customers, senior management and outside counsel is required to identify, research, analyze and resolves complex legal issues.

KNOWLEDGE OF

• Advanced concepts, principles and practices of corporate, securities and regulatory law affecting financial institutions including regulations affecting broker-dealers.
• Advanced investment concepts, practices and procedures used in the securities industry.
• Advanced principles of banking and finance and securities industry operations.
• Advanced financial markets and products.

SKILL IN

• Drafting, reviewing, and negotiating agreements and transaction-related documents.
• Managing a heavy volume in a rapidly evolving regulatory and business environment.
• Balancing conflicting resource and priority demands.
• Reviewing potential legal issues related to FICM and providing recommendations for resolution.
• Preparing and delivering written and oral presentations.
• Operating standard office equipment and using required software applications.

EDUCATION/PREVIOUS EXPERIENCE

• Juris Doctorate with excellent academic credentials and minimum eight (8+) years of specific experience in the relevant practice area(s) (law firm, regulator or self-regulatory organization, and/or in-house in a related area involving financial services industry preferred).
• OR ~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• Provides advice, counsel, and recommendations regarding FICM matters.
• Partners with business and control functions including legal, compliance, supervision, risk, and audit to manage the FICM legal matters (transactional, litigation, regulatory) and consider actions to enhance policies, procedures, and controls.
• Drafts, reviews, and advises on a variety of agreements ranging from NDAs and vendor agreements to complex securities transaction-related documents.
• Oversees and manages outside counsel in activities associated with FICM matters.
• Coaches and mentors others, including providing guidance and direction to paralegal staff and developing a regular program of continuing education and career development opportunities.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Balances conflicting resource and priority demands.
• Prepares and delivers written and oral presentations to management and senior management on legal issues.
• Maintains currency in laws and regulations related to FICM and advises the organization with respect to current or proposed rules and regulations.
• Participates or leads in projects to find solutions, implement processes, and comply with regulatory requirements applicable to FICM and the organization.
• Performs other duties and responsibilities as assigned.
  Qualifications