Counsel--broker-dealer

PNC Bank

Philadelphia, PA, US
Base: $80,000.00 – $232,050.00; bonus/equity: ince...
Investment adviser regulatory experience
Broker-dealer regulatory knowledge
Sec and finra regulation expertise
The role involves providing primary legal advice regarding PNC Wealth Management's broker-dealer operations and new product offerings

Job Summary

  • The role involves providing primary legal advice regarding PNC Wealth Management's broker-dealer operations and new product offerings.
  • Candidates will interact directly with senior business management to monitor forthcoming regulations and develop compliance policies.
  • PNC offers a comprehensive benefits package including medical coverage, 401(k) matching, and up to 25 vacation days depending on career level.

Matching Summary

The role involves providing primary legal advice regarding PNC Wealth Management's broker-dealer operations and new product offerings.

Salary

Base: $80,000.00 – $232,050.00; Bonus/Equity: Incentive eligible based on performance; Benefits: Comprehensive medical, dental, vision, 401(k), pension, and paid time off

Skills & Requirements

Must-have

  • Investment adviser regulatory experience
  • Broker-dealer regulatory knowledge
  • SEC and FINRA regulation expertise
  • J.D. degree from accredited law school
  • Active state law license

Nice-to-have

  • Insurance agency regulation familiarity
  • Prior regulator or dual registrant experience
  • Strong independent judgment
  • Experience with fund companies and clearing brokers

Key Requirements

  • At least five years of investment adviser and broker-dealer regulatory experience
  • Juris Doctor (J.D.) degree required
  • Licensed to practice law in at least one state
  • Understanding of securities regulatory process and SEC rules
  • No visa sponsorship provided for this position

Work Rights

Not specified

Tailored Resume

Cover Letter