Onboarding Counsel Role
- Providing the firm's New Accounts teams with day-to-day legal advice on application, AML and sales-related questions, and escalate significant issues or questions to senior Legal personnel or firm management;
- Addressing specific business arrangements or client issues with potential clients;
- Assisting the New Accounts team with Know-Your-Customer questions;
- Interacting with clients or their counsel regarding the firm's account opening requirements and other account-related questions;
- Helping revise policies and procedures for the review and opening of new accounts in light of new regulatory guidance;
- Advising the firm on the appropriateness of proposed transfers of assets from or between customer accounts;
- Identifying necessary changes to the firm's systems and procedures to meet new applicable regulations.
- 2-6 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer.
- Solid knowledge of domestic regulations regarding customer onboarding and diligence.
- Member in good standing of the bar of any U.S. state or the District of Columbia.
- Solid academic background.
- Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
- Outstanding oral and written communication skills.
- Ability to work in a small-team environment and to work independently and to multi-task.
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.