# In-House Counsel

**Company**: RBC
**Location**: Minneapolis, Minnesota
**Experience**: senior
**Job type**: full-time
**Salary**: $125,000 - $175,000
**Category**: Legal
**Industry**: Finance

**Apply**: https://rbc.wd3.myworkdayjobs.com/en-US/RBCGLOBAL1/job/Minneapolis-Minnesota-United-States-of-America/Corporate-Counsel--Broker-Dealer---Investment-Adviser_R-0000182271-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_afc39af5-011

## Description

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.

Responsibilities:

- Draft, review, and advise on contracts, disclosures, and legal documents related to broker-dealer and RIA products and services.

- Conduct legal research on laws, rules, regulations, and industry guidance affecting assigned areas of responsibility.

- Prepare legal opinions and memoranda on laws, rules, and regulations applicable to the business, including SEC, FINRA, and state securities laws.

- Provide counsel and assistance on legal matters pertaining to broker-dealer and investment adviser operations.

- Identify regulatory and legal gaps and recommend policy development and operational improvements.

- Assist with escalated risk issues and provide guidance on legal implications and mitigation strategies.

- Manage billing and administrative tasks associated with legal matters, including matter management and vendor billing coordination with outside counsel.

- Support senior attorneys on assigned legal matters.

- Comply fully with all company policies and procedures and all legal and regulatory requirements.

Requirements:

- 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.

Benefits:

- 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.

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## Skills

### Required
- Financial Regulation
- Legal Practices
- High Impact Communication
- Group Problem Solving
- Decision Making

### Nice to have
- securities
- investment advisory
- broker-dealer
- SEC rules
- FINRA regulations

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Source: [Apply at rbc.wd3.myworkdayjobs.com](https://rbc.wd3.myworkdayjobs.com/en-US/RBCGLOBAL1/job/Minneapolis-Minnesota-United-States-of-America/Corporate-Counsel--Broker-Dealer---Investment-Adviser_R-0000182271-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)