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Job Title: In-House Legal Counsel (Wealth Management) NEW ( ID: C1933 )
Career Category: Financial Services, In-house, In-house Counsel, Wealth Management
Posted Date: 2020-01-12
If you are an self-motivated financial services lawyer with experience in wealth management looking for an amazing in-house opportunity with an industry leader, then this is the opportunity for you!
Our client, a rapidly growing industry leader in the wealth management sphere is looking to add an in-house legal counsel with 5-7 years of financial services experience to their downtown Vancouver head office.
Job Description
Reporting to the CFO, you will be responsible for delivering high quality legal advice and the preparation and review of legal documentation and agreements. As the go-to for all things legal, you will be involved in all legal matters on behalf of the organization including: corporate, securities-related and contractual matters
Duties and Responsibilities:
• Provide timely, proactive and solution-oriented legal advice to all business units.
• Draft, review and provide legal advice in relation to certain of the Company’s Advisor contracts.
• Review and participate in the negotiation of agreements with third parties, including supplier contracts, consultant contracts and premises leases.
• Participate in the definition, development and drafting of corporate policies, procedures and programs to support the business units.
• Liaise with external legal specialists
• Research international securities legislation where required.
• Keep abreast of changes in applicable securities laws and regulatory requirements relating to securities brokerage issues and investment fund management; assist with creation of programs and procedures relating to existing and new requirements.
• Recommend risk management methods
• Lead corporate activities relating to any legal actions involving the Corporate Group.
• Oversee preparation and maintenance of corporate documents, filings and registrations and the corporate records books of all entities in the Corporate Group.
• Provide legal advice on document and record retention requirements.



The ideal candidate will have:
• A Law degree obtained from recognized law school
• 5-7 years relevant experience in wealth management gained in a firm or within a financial institution
• Experience in the Financial Services: specifically, experience with IIROC and the provincial securities commissions is highly beneficial
• Demonstrated experience successfully providing counsel to all levels of personnel in corporations
• Corporate secretarial experience
• Litigation experience is an asset
• Ability to attend and conduct presentations
• Superior interpersonal skills, verbal and written communication skills and an established record of providing proactive, business friendly advice

We thank you for your interest but only those with the requisite experience will be contacted.



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