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Wealth Management - VP

Columbus, OH, USA | J.P. Morgan

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    Financial Services Professional
  • Experience:
    5-7 years
Job Description:
126 people have viewed this job

Responsibilities will include handling escalations sent to the US Wealth Management Legal team, leading a wide range of business and regulatory projects, and assisting with client issues.The successful candidate will be organized, attentive to detail, exercise sound decision-making, and escalate issues when appropriate.The successful candidate will have a high level of energy and the flexibility to work in a high-paced, deadline-driven organization, where timely execution of high-quality work product is expected.The responsibilities are:

Working closely with others to coordinate various projects relating to regulatory requirements in the wealth management space

Advising the wealth management businesses on a wide range of legal issues including advisory and brokerage products, services, and operations

Identifying potential issues and working with appropriate business partners to provide solutions

Facilitating working group meetings with key stakeholders

Communicating with senior leadership and business partners regarding high-level legal projects and issues

Working on special projects outside of normal responsibilities and ability to adapt as needed.

Qualifications

At least 5 years of practicing experience at a law firm, financial institution, government agency, regulator and/or self-regulatory organization with demonstrated wealth management experience

Experience in broker-dealer and investment advisory matters, including knowledge of the Securities Act, Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act and FINRA rules and regulations

Proficient in handling a large number of issues and competing priorities in a fast paced and rapidly evolving environment

Ability to understand business needs and partner with key stakeholders to create solutions

Excellent communication skills (verbal and written) with the ability to interact effectively and professionally at all levels

JD Degree

All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment

Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction


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