- Advises on deposit and treasury management related products and services, including ACH, wire transfers, remote deposit capture, credit cards, and on-line banking, as well as the resolution of disputes concerning the products and services.
- Drafts client and internal facing deposit and treasury management related documents, policies, and procedures.
- Advises on and documents commercial and consumer loan transactions and loan workouts, as needed. Loans may include private banking loans, Regulation U loans, sponsor finance, real estate, and venture and fund lending loans.
- Assists with due diligence for loan transactions, including review of corporate and trust documents.
- Manages and reviews work performed by outside counsel.
- Advises the Banks' and Stifel Financial Corp.'s management, as well as the firm's associates, concerning compliance and regulatory matters.
- Advises, drafts, and negotiates contracts and regulatory documents.
- Interprets laws, rulings and regulations involving the Banks' business lines, including mortgage and other consumer lending.
- Analyzes risks associated with a wide variety of issues.
- Gathers evidence to formulate defenses to potential claims.
- Works with outside counsel to represent the Banks in litigation, arbitration, or in certain cases directly before government and regulatory agencies, as required.
- Conducts legal research to assist in the firm's business growth.
- Assists in general corporate legal drafting, including minutes.
- Deep knowledge about the laws and regulations enforced by the CFPB, the Board of Governors of the Federal Reserve System, the FDIC, the OCC, and other state and federal agencies, as well as their impact on the Banks' current and future products and services, including deposit and treasury management focused products and services.
- Practical experience with all aspects of deposit and treasury management related products and services, including developing and growing of new products and services, drafting disclosures and procedures, and dispute resolution.
- Expertise with the Uniform Commercial Code in connection with deposit and treasury management focused products and services.
- Practical knowledge of and experience providing advice regarding laws, rules and regulations relating broker-dealers generally (FINRA/SEC).
- Working knowledge of the institutional business and how it interacts and collaborates with the wealth management business.
- Excellent communication (oral and written), research and strategic thinking skills.
- Ability to work independently in a fast-paced environment.
- Ability to analyze complex issues and to provide actionable advice.
- Team and service oriented.
- Strong work ethic, organizational and time-management skills.
- A strong interest in the wealth management business and willingness to learn new skills.
- Minimum Required: J.D. degree with a strong academic background and in good standing with the applicable state bar association.
- Minimum Required: 5 years' of relevant experience at a law firm or in-house legal department preferably in a regulatory or financial institution.
- Minimum Required: Licensed to practice law in Missouri and/or New York required, licensed to practice law in other states preferred.
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Deputy General Counsel - St. Louis, United States - Stifel
Description
Summary
The Deputy General Counsel will provide legal advice and service primarily to Stifel Financial Corp.'s subsidiary banks and trust companies (collectively, the "Banks"). In cooperation with management of the Banks and their parent company, the candidate will have responsibility for advising business partners on various issues, such as deposit and loan related matters and related regulatory requirements.
Essential Duties and Responsibilities
Qualifications
Education and Experience
Licenses and Credentials
About Stifel
Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.
