General Counsel

Wedbush is one of the leading securities firms and investment banks in the nation. We are looking to add a General Counsel to our Executive team. The General Counsel will lead and oversee strategic direction of Legal, Business Conduct (Compliance) and Human Resources functions.

Responsibilities include, but are not limited to:

Advise and render opinions to the Executive Team on legal strategy and risks associated with the company’s business operations, regulatory compliance, employment and securities law
Direct a team of Legal professionals on all regulatory, litigation and transactional matters
Oversee Business Conduct (Compliance) department on regulatory & compliance strategy AML and FINRA matters
Provide strategic direction to a team of Human Resources professionals on talent management, employment law and benefits matters
Identify business, regulatory and legal risks and recommend practical alternatives that allow the company to operate in compliance with state and federal laws, rules and regulations
Oversee internal investigations and provide advice on regulatory matters to the Co-Presidents
Manage outside counsel on larger, complex cases
Drive operational excellence and collaborate effectively across business units
Experience and Skills
J.D. from an accredited law school
Active membership, in good standing, with the CA and/or NY State Bar
15+ years of legal and/or compliance experience at a broker dealer
Demonstrated experience working effectively with FINRA and SEC
Expertise of corporate, securities, contracts, intellectual property and employment law
Significant leadership and managerial experience
Proven track record leading and managing direct reports and teams
Strong negotiation skills with legal, compliance, business and financial issues
Excellent business judgment and strategic thinking capabilities, with the aptitude to be flexible, take initiative, and work on a broad variety of legal and regulatory matters