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PWM Senior Counsel

Company: First Republic Bank
Location: San Francisco
Posted on: April 9, 2021

Job Description:

First Republic Bank is committed to a policy of equal employment opportunity for all employees and applicants for employment, without regard to race, color, religion, sex, pregnancy, childbirth, sexual orientation, gender identification, national origin, ancestry, age, marital status, physical or mental disability, medical condition, genetic information, citizenship status, veteran status or any other legally protected category, in accordance with applicable federal, state and local law. Banking products and services are offered by First Republic Bank, Member FDIC and Equal Housing Lender Investment Advisory services are provided by First Republic Investment Management, Inc. Trust services are provided by First Republic Trust Company and First Republic Trust Company of Delaware LLC. Brokerage services are offered through First Republic Securities Company, LLC, Member FINRA / SIPC . Insurance services are provided through First Republic Securities Company, DBA Grand Eagle Insurance Services, LLC, CA Insurance License # 0I13184, and First Republic Investment Management, DBA Eagle Private Insurance Services, CA Insurance License # 0K93728. Investment, Insurance and Advisory Products and Services, and Foreign Exchange Transactions, are Not FDIC Insured or Insured by Any Federal Government Agency, Not a Deposit, Not Bank Guaranteed and May Lose Value. Careers - First Republic Bank - PWM Senior Counsel in San Francisco, California - Careers at 388 Market Street Skip to Main Content Please Enable Cookies to Continue Please enable cookies in your browser to experience all the personalized features of this site, including the ability to apply for a job. Welcome page Returning Candidate? Log back in! PWM Senior Counsel ID 2021-11972 Job Locations US-CA-San Francisco At First Republic, we care about our people. Founded in 1985, we offer extraordinary client service in private banking, private business banking and private wealth management. We believe that personal connections are everything and our success is driven by the relationships we form with our colleagues and clients. You'll always feel empowered and valued here. Incredible teams doing exceptional work, every day The PWM Senior Counsel will be responsible for:

  • Providing real-time legal advice and recommendations to PWM compliance and business partners (both client-facing and corporate staff).
  • Reviewing and negotiating legal contracts, including client agreements, selling agreements, insurance agreements, and 10b5-1 plans.
  • Assisting with regulatory inquiries from the SEC, FINRA and other regulators such as the FDIC.
  • Assisting with registration filings and related inquiries from FINRA and state securities regulators.
  • Handling litigation and regulatory enforcement matters, and managing outside litigation counsel as appropriate.
  • Advising on or handling customer complaints and civil subpoenas.
  • Identifying and driving implementation of operational enhancements and internal policies/procedures in order to effectively mitigate risk and improve efficiency. The ideal candidate will have:
    • J.D. and member of California bar in good standing.
    • 5 to 8 years of experience practicing law.
    • Prior in-house experience at a wealth management firm or broker-dealer or private practice representation of same is preferred.
    • Intermediate understanding of the securities laws applicable to investment advisors, and/or of FINRA rules applicable to broker-dealers.
    • Some litigation background is preferred.
    • Training within a reputable law firm is ideal.
    • An undergraduate degree and a JD from a top institution. Own your work and your career - apply now Are you willing to take initiative and make decisions? Are you willing to go the extra mile because you love what you do and how you can contribute as a team? Do you want the freedom to grow and the opportunity to take charge of your own career? If so, then come join us. We want hard working team players. You'll have the independence to learn, lead and drive change. A culture of extraordinary service, empowerment and stability-that's the First Republic way. Come join us! This job description is not intended to be all-inclusive. Employee may perform other related duties as assigned to meet the ongoing needs of the organization. The Company is an equal opportunity employer. In this regard, the Company makes reasonable accommodations for qualified applicants and employees with disabilities in order to enable them to perform all essential job functions, unless doing so creates an undue hardship. First Republic is subject to federal laws that restrict the employment of individuals with certain types of criminal histories, including FDIA Section 19 and FINRA. To the extent not inconsistent with our obligations under those federal laws and regulations, First Republic will consider qualified candidates with criminal histories in a manner consistent with the Los Angeles and San Francisco ban-the-box laws. Options Apply for this job online Apply Share Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Loading... Need help finding the right job? We can recommend jobs specifically for you!Click here to get started. Please be advised that First Republic Bank will not ask you to provide personal information, including driver's licenses, social security numbers, and passports during the interview process. If you receive a request of this type, please report it to Fraud@firstrepublic.com

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Keywords: First Republic Bank, San Francisco , PWM Senior Counsel, Legal , San Francisco, California

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