Director Legal Counsel – Investor Solutions & Equity Derivatives Sales recruitment

1. Serve as Legal point person for U.S. structured notes business, including registered and 144A notes and certificates of deposit linked to various asset classes such as equities, rates, commodities, currencies, indices, and registered and unregistered funds.

2.  Manage legal aspects of structured notes transactions, including (1) drafting and reviewing deal documentation and marketing materials and (2) participating in presentations of new products to relevant internal committees.

3.  Review and provide advice on proposed new products, including potential legal, regulatory and reputational risks.

4.  Review and negotiate underwriter and dealer agreements.

5.  Work with structured equity desk to draft, negotiate and review documentation for transactions such as call spreads in connection with convertible bond offerings, accelerated share repurchase transactions, variable delivery forwards, collar plus loan structures and other structured financing transactions with corporate clients.

6.  Provide advice regarding FINRA compliance related to marketing and issuing of structured products.           

7.  Maintain an awareness of and monitor the regulatory environment for emerging legislation and policy statements, along with relevant trends and industry best practices applicable to the structured notes business, participation in industry associations, contact with regulators, and liaison with counsel and auditors.

8.  Maintain relationships with regulators and assist Compliance in fielding regulatory and trade inquiries from regulators. 

9.  Manage outside counsel in connection with work on structured notes.

Education/Work Experience/Designations