Trader (Institutional Municipal Bonds) jobs in Providence, RI

Inclusively is partnering with a company description to hire a Legal Counsel - Institutional - HYBRID.

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Job Description:

Based in Smithfield, RI, Boston, MA or Jersey City, NJ, this role will provide legal support to the growing Institutional and Fund and Brokerage Operations Technology (FBOT) businesses, a collection of business groups that provide brokerage services and investment advisory offerings to third-party intermediary clients, including registered investment advisers (“RIAs”), banks, and broker-dealers.

The Role

You will be part of the team within Legal Department that supports FI and FBOT, primarily advising on a broad array of legal issues that arise in the Custody segment, which services third-party RIAs that use National Financial Services LLC (“NFS”) to custody their client brokerage accounts.

The Expertise and Skills You Bring

• JD and at least 2-5 years of law firm, industry, or regulatory experience
• Admitted to practice or willing to secure bar admission in the relevant jurisdiction
• Knowledge and understanding of the regulatory framework for registered investment advisers, including relevant laws, rules and regulations; general familiarity with broker-dealer and securities laws and related rules and regulations
• Experience advising on SEC, FINRA, and other laws, rules and regulations applicable to investment advisers and broker-dealers
• Strong work ethic, excellent judgment, and keen attention to detail
• Strong writing and research skills
• Strong analytical, investigatory, and problem-solving skills
• Strong sense of ownership of tasks and responsibilities
• Ability to work efficiently, under pressure, with varying degrees of supervision.

The Value You Deliver

• Providing day-to-day support to the Custody segment sales, relationship management, and client experience teams
• Providing advice and guidance to the custody segment on account-level and firm-level issues and matters, policy questions, forms and applications
• Evaluating and assisting in the development of brokerage and custody products and services in collaboration with multiple groups within, including product, client experience, risk, compliance, finance, sales, technology, and marketing
• Working and collaborating with the FI/FBOT Legal team and other colleagues in Legal as well as in Risk and Compliance to meet the needs of the FI/FBOT businesses

The base salary range for this position is $103,000-$218,000 per year.

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.

We offer a wide range of benefitsto meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.

Job Type: Full-time

Pay: $103,000.00 - $218,000.00 per year

Schedule:

• Monday to Friday

Work Location: Remote