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Job Summary:

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to manage all legal matters involving assigned functional area. Relying on strong critical thinking and legal analytical skills, drafts, reviews, edits, and negotiates a wide-range of agreements between Raymond James and third parties. May lead major projects, programs or processes with significant business impact involving cross-functional teams include those related to emerging technology and artificial intelligence (AI). Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Extensive contact with internal customers, senior management and outside counsel is required to identify, research, analyze and resolves complex legal issues with significant impact.

Responsibilities:

• Drafts, reviews, edits, and negotiates general commercial agreements, including those critical to the operation of a broker-dealer, registered investment adviser, and a bank holding company.

• Plans, assigns, monitors and leads the work of others.

• Reviews performance and evaluates results achieved by others

• Coaches and mentors others, including providing guidance and direction to paralegal staff and developing a regular program of continuing education and career development opportunities.

• Interprets, applies and recommends changes to organizational policies and procedures.

• Reviews progress of assignments with senior management.

• Balances conflicting resource and priority demands.

• Assists others in developing, preparing and presenting legal theories and strategies.

• Provides practical and actionable advice, counsel and recommendations to senior management on legal issues.

• Prepares and delivers written and oral presentations to management and senior management on legal issues.

• Maintains currency in corporate laws and regulations related to assigned functional areas.

• Operates standard office equipment and uses required software applications.

• Performs other duties and responsibilities as assigned.

Knowledge of:

• Advanced concepts, principles and practices of laws and regulations related to assigned functional areas.

• Advanced investment concepts, practices and procedures used in the securities industry.

• Advanced principles of banking and finance and securities industry operations.

• Advanced financial l markets and products.

Skill in:

• Drafting and editing of general commercial contracts with particular focus on contracts required for the operation of a broker-dealer, registered investment adviser and bank holding company.

• Developing, preparing and presenting legal theories and strategies.

• Researching and analyzing laws and regulations applicable to a broker-dealer, registered investment adviser, and bank holding company.

• Preparing and delivering written and oral presentations to senior management on legal issues and risks.

• Operating standard office equipment and using required software applications

Ability to:

• Coach and mentor others.

• Interpret, apply and recommend changes to organizational policies and procedures.

• Provide legal advice, counsel and recommendations to senior management on significant issues.

• Balance conflicting resource and priority demands.

• 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 complex legal 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 and maintain a collegial and respectful environment.

• Establish and maintain effective working relationships at all levels of the organization, including negotiating resources.

Educational/Previous Experience Requirements

• Juris Doctorate with excellent academic credentials and minimum eight (8+) years of progressively responsible experience in relevant practice area(s).

• OR ~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• Member in good standing in at least one state bar; and

• Ability to obtain Authorized House Counsel, if Florida resident and not a member of the Florida bar.