Private Wealth Management Senior Counsel (HYBRID)

First Republic, California, US

Work at First Republic

OverviewAt First Republic, we care about our people. Founded in 1985, we offer extraordinary client service in private banking, private business banking and private wealth management. We believe that personal connections are everything and our success is driven by the relationships we form with our colleagues and clients. You'll always feel empowered and valued here. Incredible teams doing exceptional work, every dayThe Audit, Risk, Compliance and Legal groups support First Republic's business objectives by systematically improving the effectiveness of its risk management, control and governance processes. We own and administer these processes while educating our colleagues to best support them. Our mission is to promote a culture of compliance and to be the best partner we can to our business stakeholders.Duties and ResponsibilitiesWhat you'll do as Private Wealth Management Senior Counsel:Providing real-time legal advice and recommendations to First Republic Securities Company's compliance and business partners (both client-facing and corporate staff).Reviewing and negotiating legal contracts, including client agreements, selling agreements, insurance agreements, and 10b5-1 plans.Assisting with regulatory inquiries from the SEC, FINRA, states and other regulators such as the FDIC, as well as internal and external audit requests.Assisting with registration filings and related inquiries from FINRA and state securities regulators.Handling litigation and regulatory enforcement matters, and managing outside litigation counsel as appropriate.Advising on or handling customer complaints and civil subpoenas.Researching issues that may involve legal or factual complexity, through examination of documents and/or factual investigation, as well as independent legal research.Identifying and driving implementation of operational enhancements and internal policies/procedures in order to effectively mitigate risk and improve efficiency.QualificationsYou could be a great fit if you have:J.D. and member of California bar in good standing.5 to 8 years of experience practicing law.Prior in-house experience at a wealth management firm or broker-dealer, or private practice representation of same is preferred.Intermediate understanding of the securities laws and regulations applicable to broker-dealers.Some litigation background is preferred.Job Demands: Must be able to review and analyze data reports and manuals; must be computer proficient.Must be able to communicate effectively via telephone and in person.Must be able to travel as position requires. Travel is required depending on litigation matters and hearing locations.Own your work and your career - apply nowAre you willing to go the extra mile because you love what you do and how you can contribute as a team? Do you want the freedom to grow and the opportunity to take charge of your own career? If so, then come join us. We want hard working team players. You'll have the independence to learn, lead and drive change. A culture of extraordinary service, empowerment and stability - that's the First Republic way. We believe that a diverse range of backgrounds and ideas has and will continue to be fundamental to the future success of First Republic. If you are curious to learn more about this opportunity, we'd love to hear from you. This job description is not intended to be all-inclusive. Employee may perform other related duties as assigned to meet the ongoing needs of the organization. The Company is an equal opportunity employer. In this regard, the Company makes reasonable accommodations for qualified applicants and employees with disabilities in order to enable them to perform all essential job functions, unless doing so creates an undue hardship. First Republic is subject to federal laws that restrict the employment of individuals with certain types of criminal histories, including FDIA Section 19 and FINRA. To the extent not inconsistent with our obligations under those federal laws and regulations, First Republic will consider qualified candidates with criminal histories in a manner consistent with the Los Angeles and San Francisco ban-the-box laws. For New York City-based roles: Mayor Bill de Blasio announced that, effective December 27, 2021, all private sector employers?in New York City will be required to ensure that their employees are vaccinated against COVID-19 to attend work in the office. Reasonable Medical or Religious Accommodations may be requested if applicable to you. Please view New York's Guidance on Accommodations for Workers for more information. #LI-HYBRID #HYBRIDPDN-95c82b72-b1d8-42e5-9d7a-3701b8b46b5c