Overview

Job Description

Wedbush is one of the leading securities firms and investment banks in the nation. We are looking to add a General Counsel to our Executive team. The General Counsel will lead and oversee strategic direction of Legal, Business Conduct (Compliance) and Human Resources functions.

Responsibilities include, but are not limited to:

  • Advise and render opinions to the Executive Team on legal strategy and risks associated with the company’s business operations, regulatory compliance, employment and securities law
  • Direct a team of Legal professionals on all regulatory, litigation and transactional matters
  • Oversee Business Conduct (Compliance) department on regulatory & compliance strategy AML and FINRA matters
  • Provide strategic direction to a team of Human Resources professionals on talent management, employment law and benefits matters
  • Identify business, regulatory and legal risks and recommend practical alternatives that allow the company to operate in compliance with state and federal laws, rules and regulations
  • Oversee internal investigations and provide advice on regulatory matters to the Co-Presidents
  • Manage outside counsel on larger, complex cases
  • Drive operational excellence and collaborate effectively across business units

Experience and Skills

  • J.D. from an accredited law school
  • Active membership, in good standing, with the CA and/or NY State Bar
  • 15+ years of legal and/or compliance experience at a broker dealer
  • Demonstrated experience working effectively with FINRA and SEC
  • Expertise of corporate, securities, contracts, intellectual property and employment law
  • Significant leadership and managerial experience
  • Proven track record leading and managing direct reports and teams
  • Strong negotiation skills with legal, compliance, business and financial issues
  • Excellent business judgment and strategic thinking capabilities, with the aptitude to be flexible, take initiative, and work on a broad variety of legal and regulatory matters

To apply for this job please visit wedbush.atsondemand.com.


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