General Counsel

As Intesa Sanpaolo's investment Bank, Banca IMI is part of one of the top banking groups in Italy whose network also includes a major international presence. Banca IMI's key objective is to serve its customer base of institutional investors, financial networks, corporates, and government institutions, supplying financial products and services developed with standards of excellence. Banca IMI is looking for new qualify profiles with the following requirements:

Scope and Purpose

The General Counsel will provide day-to-day legal advice and other legal services to the US broker-dealer, Banca IMI Securities Corp. This position reports directly to the CEO of Banca IMI Securities Corp. and will work closely with Banca IMI SpA's legal department in Milan, Italy. This position requires a strong understanding of brokerage services, advisory services, and all applicable federal and state securities laws, rules, and regulations, especially those of the SEC and FINRA.

Required Experience

• Juris Doctor (JD) law degree and member of bar association.

• Should have a minimum of 7 to 10 years experience working for security firms/broker dealers

as legal counsel.

• Extensive knowledge and understanding of SEC and FINRA rules and regulations.

• Hold Series Licenses 4, 7, 9, 10, 24, 55 and 63.

Competencies Required

• Provide in-house legal advice and services to all internal business units within the broker-dealer, including trading and sales desks, stock loan, middle and back office operations, and the investment banking group, regarding all aspects of their respective businesses with specific emphasis on the products and services offered to clients.

• Provide legal support for registered underwritings and private placement activities conducted by DCM and ECM..

• Assist and coordinate with Banca IMI Securities Corp.'s non-US affiliates on cross-border transactions and issues.

• Prepare, review, and provide input on service level agreements between Banca IMI Securities Corp. and Banca IMI SpA.

• Coordinate any powers-of-attorney and other corporate authorities granted in the normal course of business by Banca IMI Securities Corp. and/or Banca IMI SpA., including but not limited to trading.

• Work closely and coordinate with ISP NY on various legal issues that may arise.

• Respond to regulatory inquiries, disputes, complaints, and litigation relating to the broker-dealer.

• Structure advice based on applicable rules, regulations, and laws.

• Handle client-related inquiries relating to broker-dealer and investment adviser matters.

• Draft, review, and negotiate contracts used in connection with securities and client agreements.

• Conduct legal research, as needed.

• Manage engagements and relationships with outside legal counsel and other external consultants and work closely with such parties, as needed.

• Work closely with business teams and other corporate functions such as Compliance, Human Resources, Operations, IT, and Risk to understand business strategies.

• As required, work with Compliance personnel to address matters crossing business and functional lines including complaint handling and legal/compliance review of certain sales and marketing materials.

• Exercise professional and legal judgment when interacting with and providing legal assistance to business unit personnel in ordinary course matters without need for direct supervision.

• Provide interpretive guidance regarding SEC and FINRA rules and regulations applicable to the business of the broker-dealer.

Required Qualifications, Skills and Knowledge

Everyone is an asset for our Group and that person could be you! Check out our job opportunities, apply and join our team!