Legal Counsel - Wealth Management - Room for Advancement

JS Careers is currently working with a leading full service wealth and advisory firm in their search to appoint an outstanding lawyer to its legal team. Reporting to the General Counsel, the successful candidate will have extensive experience in either wealth management, capital markets or retail broking.  

They will work very closely with stakeholders across all areas of the firm in providing commercially orientated legal advice in relation to its institutional and retail broking business and the Corporate Advisory function. Furthermore, the successful candidate will play a key role in providing regulatory compliance support and advice across business.

Role responsibilities: 

• Reviewing, drafting, and negotiating a broad range of commercial agreements relating to suppliers, vendors, and software and technology licensing.
• Providing advice in relation to both local and offshore securities and financial services laws.
• Advising the Group on its obligations under the ASX Listing Rules, ASX AQUA Rules and Chi-X Operating Rules.
• Advising on disclosure requirements for retail and wholesale offerings; including reviewing draft disclosure documents and information memoranda.
• Negotiating and drafting documentation across the spectrum of retail funds management agreements, including platform agreements, IDPS agreements, sponsorship and rebate agreements.
• Providing legal and regulatory advice to the business on new products and services and proactively anticipating legal issues and identifying future legal requirements.
• Overseeing external counsel on complex transactions.

Candidates will be considered from: 

• In-house legal teams - within wealth management, broking or investment banking.
• Top tier Commercial law firms – with a banking and finance, M&A, capital markets or financial markets focus.

Candidates must also have the following: 

• Bachelor of Laws.
• 3+ years PQE with experience within financial services, wealth management, investment banking or corporate advisory.
• A thorough understanding of the Australian financial services legal environment, Corporations Act and ASX Listing Rules.
• An ability to operate autonomously and to apply sound commercial and risk judgement to various situations.
• A ‘can-do’ and roll up your sleeves attitude.
• Outstanding collaboration and interpersonal skills.

For further information, please contact Henry Smith on 02 8096 9418 / [email protected]