Senior Counsel - Fixed Income - Req. 1901810
Under general direction with a high level of autonomy, provide legal advice and counsel to Raymond James & Associates’ Fixed Income Department including i) drafting, reviewing and negotiating a wide variety of contracts in connection with the Fixed Income department’s sales and trading businesses, including data and services contracts, NDA’s and miscellaneous one-off agreements, ii) drafting, reviewing and negotiating sales and trading agreements, such as ISDA Master Agreements, MSFTA’s, repo agreements and various customized agreements, iii) analyzing and advising with respect to broker-dealer regulatory (including both existing and new regulations), employment, litigation and other issues that may arise in connection with the broker-dealer’s taxable and municipal sales, trading, swaps and taxable debt origination businesses. Responsibilities may also include some support of our public finance underwriting business as well as undertaking projects with significant business impact. This role requires extensive contact with internal customers, Raymond James management, counterparties and outside counsel.
Essential Duties and Responsibilities:
· Review, draft, and negotiate a wide range of agreements for the Fixed Income Department with an emphasis on sales and trading agreements.
· Review documents and provide legal advice in connection with Department’s taxable debt origination business, including interacting with outside counsel.
· Review documents and provide legal advice in support of the Department’s public finance activities.
· Analyze statutory and regulatory regimes to effectively protect the Department and the firm.
· Provide ongoing advice, counsel and recommendations to Department personnel and management on various legal and regulatory issues as relevant to the Department’s business.
· Work with outside counsel in connection with Fixed Income Department business as well as specific legal and regulatory issues.
· Lead or participate in projects to find solutions, implement processes and comply with regulatory requirements applicable to the Department and the firm.
· Maintain currency in laws and regulations related to Fixed Income and the securities industry.
· Operate standard office equipment and use required software applications.
· Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
·Advanced investment concepts, practices and procedures used in the securities industry.
·Advanced principles of banking and finance and securities industry operations.
·Advanced financial markets and products.
·Perform legal review.
·Providing legal representation.
·Reviewing potential legal issues related to assigned functional area(s) and providing recommendations for resolution.
·Preparing and delivering written and oral presentations to internal customers including management and senior management.
·Operating standard office equipment and using required software applications.
·Lead the work of others.
·Provide training in assigned functional area(s).
·Coach and mentor others.
·Direct the activities of outside counsel.
·Maintain currency in laws and regulations related to assigned functional area(s).
·Partner with other functional areas to accomplish objectives.
·Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
·Gather information, identify linkages and trends and apply findings to assignments.
·Read, interpret, analyze and apply contract law and customer arbitration information.
·Interpret and apply policies and identify and recommend changes as appropriate.
·Prioritize and manage multiple priorities in a fast-paced, dynamically changing environment
·Communicate effectively, both orally and in writing.
·Work independently as well as collaboratively within a team environment.
·Handle stressful situations, a heavy diverse case load and provide a high level of customer service in a calm and professional manner.
·Establish and maintain effective working relationships at all levels of the organization.
Educational/Previous Experience Requirements:
·Juris Doctorate with excellent academic credentials and minimum of four (4) years of progressively responsible experience in relevant practice area.
· Experience in financial services highly preferred
Ability to obtain Authorized House Counsel.
Raymond James Guiding Behaviors
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
- • Grow professionally and inspire others to do the same
- • Work with and through others to achieve desired outcomes
- • Make prompt, pragmatic choices and act with the client in mind
- • Take ownership and hold themselves and others accountable for delivering results that matter
- • Contribute to the continuous evolution of the firm