Stifel's legal department is looking for a candidate to join our growing organization. In this role, the Deputy General Counsel will provide legal advice and service primarily to Stifel Financial Corp.'s subsidiary banks and trust companies (collectively, the “Banks”). In cooperation with management of the Banks and their parent company, the candidate will have responsibility for advising business partners on various issues, such as loan related matters and related regulatory requirements. The position will be based in St. Louis, Missouri, or New York, New York.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Advises on and documents commercial and consumer loan transactions, credit policy matters, and loan workouts, as needed. Loans may include private banking loans, Regulation U loans, venture and fund lending loans, and loans collateralized by Rule 144 securities.
- Advises the Banks' and Stifel Financial Corp.'s management, as well as the firm's associates, concerning compliance and regulatory matters
- Advises, drafts, and negotiates contracts and regulatory documents, including for the Bank policies.
- Interprets laws, rulings and regulations involving the Banks' business lines, including mortgage and other consumer lending.
- Analyzes risks associated with a wide variety of issues.
- Gathers evidence to formulate defenses to potential claims.
- Represents the Banks in court, arbitration, or before government and regulatory agencies, as required.
- Conducts legal research to assist in the firm's business growth.
- Assists in general corporate legal drafting, including minutes.
- Performs other responsibilities, as requested.
- Minimum of 5- 15 years of relevant experience at a law firm or in-house legal department preferably in a regulatory or financial institution
- JD with a strong academic background and in good standing with the applicable state bar association
- Licensed to practice law in Missouri required, licensed to practice law in other states preferred
- Practical knowledge of and experience providing advice regarding laws, rules and regulations relating broker-dealers generally (FINRA/SEC), with a preference for experience related to Alternative Investments and the Investment Advisers Act of 1940
- Familiarity with Securities Act of 1933 and Securities Exchange Act of 1934
- Working knowledge of the institutional business and how it interacts and collaborates with the wealth management business
- Excellent communication (oral and written), research and strategic thinking skills
- Ability to work independently in a fast-paced environment
- Ability to analyze complex issues and to provide actionable advice
- Team and service oriented
- Strong work ethic, organizational and time-management skills
- A strong interest in the wealth management business and willingness to learn new skills
Established in 1890, Stifel is one of the nation's leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation's seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry's largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.
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