Corporate Counsel, Broker-Dealer & Investment Adviser

Job Description

What is the opportunity?

Our Law Group seeks an in-house counsel to provide legal support to a dually-registered broker-dealer and registered investment adviser. In this role, you will be responsible for drafting and reviewing legal documents, conducting legal research, and advising on complex legal, regulatory, and operational matters affecting our business. You will work with business units to analyze legal risks and support the implementation of business strategy. This is an excellent opportunity to develop your expertise in financial services law while working with a collaborative, high-performing legal team.

What will you do?

• Drafts, reviews, and advises on contracts, disclosures, and legal documents related to broker-dealer and RIA products and services.
• Conducts legal research on laws, rules,  regulations, and industry guidance affecting assigned areas of responsibility.
• Prepares legal opinions and memoranda on laws, rules, and regulations applicable to the business, including SEC, FINRA, and state securities laws.
• Provides counsel and assistance on legal matters pertaining to broker-dealer and investment adviser operations.
• Identifies regulatory and legal gaps and recommends policy development and operational improvements.
• Assists with escalated risk issues and provides guidance on legal implications and mitigation strategies.
• Manages billing and administrative tasks associated with legal matters, including matter management and vendor billing coordination with outside counsel.
• Supports senior attorneys on assigned legal matters.
• Complies fully with all company policies and procedures and all legal and regulatory requirements.

What do you need to succeed?

Must have:

• Juris Doctor (J.D.) and authorized to practice law in the state of Minnesota.
• A minimum 3 years of experience as a lawyer at a law firm or in-house legal department.
• Demonstrated ability in written and oral communication skills, with strong presentation skills and ability to translate complex legal and regulatory requirements into clear written materials.
• Strong legal research and analysis skills, with excellent problem-solving abilities and the capacity to manage multiple projects concurrently and meet deadlines.
• Ability to work effectively with cross-functional teams and exercise sound business judgment in advising on legal and regulatory matters.

Nice-to-have:

• Relevant experience providing counsel on securities, investment advisory, and/or broker-dealer matters.
• Working knowledge of SEC rules, FINRA regulations, state securities laws, and other applicable regulatory frameworks governing broker-dealers and investment advisers.
• Experience advising on multiple product lines, including mutual funds, insurance and annuities, alternative investments, retirement products, or securities-based lending.
• Experience in a large financial services corporation or similar complex regulatory environment.

What's in it for you?

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, and stock where applicable.
• Leaders who support your development through coaching and mentoring opportunities.
• Ability to make a difference and lasting impact in a dynamic financial services environment.
• Work in a collaborative, progressive, and high-performing legal team.
• Opportunities to do challenging and meaningful work in a regulated industry.

The good-faith expected salary range for the above position is $125,000 - $175,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC’s high performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills

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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.