ESSENTIAL DUTIES AND RESPONSIBILITIES
- Monitor applicable laws and regulations affecting assigned areas, including the Investment Advisers Act of 1940 and related SEC rules, FINRA rules, and ERISA law and regulations, and advise senior management as necessary.
- Recommend and assist in revising Firm policies and procedures based on legal opinion.
- Respond to complex requests for legal advice from Firm personnel.
- Interact with other Stephens personnel on legal matters.
- Investigate and draft responses to regulatory inquiries.
- Respond to document requests and subpoenas.
- Provide legal review and approval for communications to the public.
- Assist with the design and implementation of longer-term projects and analyses.
- Select and manage outside counsel.
- Perform any other related duties as required or assigned.
EDUCATION AND/OR EXPERIENCE
- Juris Doctorate (J.D.) degree from an accredited American Bar Association Law School and in good standing with the Bar of any U.S. State.
- 3+ years of related experience and/or training.
- Equivalent combination of education and experience.
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