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Chase · 1 month ago

Wealth Management Attorney - Vice President, Assistant General Counsel

277 Park Ave, New York, NY, 10172, US

Full-time

Onsite

Senior Level, Lead/Staff

$200K/yr - $275K/yr

8+ years exp

Chase is a leading financial institution, and they are seeking a Wealth Management Attorney - Assistant General Counsel. In this role, you will provide critical legal guidance and support to various business groups within J.P. Morgan Wealth Management, collaborating with compliance and risk functions to manage legal issues and ensure effective support for advisors and sales teams.

BankingFinancial Services

Responsibilities

Serve as a primary legal contact supporting J.P. Morgan Wealth Management’s broker-dealer and investment advisory products, services, and sales channels for retail businesses

Advise on a wide range of projects and initiatives that will help define our retail Wealth Management businesses

Provide timely, strategic legal counsel by leveraging your legal experience and deep understanding of business priorities to support J.P. Morgan Wealth Management’s objectives

Collaborate with fellow Wealth Management attorneys and J.P. Morgan Legal teams to deliver coordinated legal support

Partner closely with Compliance, Risk, and Controls functions to ensure effective risk management and regulatory compliance

Identify, assess, and manage legal and other risks related to Wealth Management services and products

Participate in special projects and initiatives beyond core responsibilities, as needed

Adapt to evolving business needs and priorities in a dynamic environment

Ensure comprehensive support for Advisors, Sales Management, Operations, Risk, and Controls teams

Qualification

Legal experience in financial servicesBroker-dealer expertiseInvestment advisory knowledgeFederalState securities lawsFINRA rules knowledgeVerbal communication skillsWritten communication skillsPractical solutions developmentLicensed to practice lawProblem-solving skillsCollaboration skillsAdaptabilityTime management

Required

Minimum 8 years of legal practicing experience in financial services

Demonstrated expertise in broker-dealer and investment advisory matters

Strong knowledge of federal and state securities laws and FINRA rules

Proven ability to manage multiple issues in a fast-paced environment

Skilled at understanding business needs and developing practical solutions

Excellent verbal and written communication skills

Licensed to practice law and a member in good standing in the relevant jurisdiction

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