Legal Counsel

Experience with financial services litigation or investigations
In-depth understanding of SEC and FINRA regulations
Familiarity with depositions and interviews
Ability to identify, evaluate, and mitigate potential legal and operational risks in financial services

Development and implementation of best practice legal strategies for managing litigation, investigations and enforcement including the management of external support
Legal advice and support to the bank on contentious legal matters
Representation of the bank in legal proceedings such as litigation, arbitration, and regulatory investigations
Creation and review of legal documents relevant to cases, and processes, policies and procedures designed to reduce legal and regulatory risk across the bank
Legal research and analysis to stay up to date on changes in laws, rules and regulations that may impact the bank’s litigation, investigations, and enforcement activities
Developing and delivering training programmes to educate employees on legal and regulatory requirements related to and/or arising from litigation, investigations, and enforcement proceedings
Proactively identifying, communicating, and providing legal advice on applicable laws, rules and regulations (LRRs)

Familiarity with banking regulations, securities laws, and financial products like derivatives, loans, and investment vehicles
Interpersonal skills for working with regulators, external law firms, internal teams, and clients