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Job Title: Assistant General Counsel
Job Location: NJ: Jersey City
Pay Rate: Open
Job Length: full time
Start Date: 2008-07-23

Company Name: Pershing
Contact: Recruiter
Phone: email only please
Fax: email only please

Description: Assistant General Counsel

Job ID: 175 Description: I.PAS HAS BEEN TASKED WITH THE RESPONSIBILITY OF INCREASING ITS REVENUES FROM $36 MILLION IN CALENDAR 2006 TO $216 MILLION IN CALENDAR YEAR 2010. TO ACCOMPLISH THIS OBJECTIVE THERE WILL NEED TO BE A PROPORTIONATE INCREASE IN PAS BUSINESS RESULTING IN A REASONABLE EXPECTATION OF A PROPORTIONATE INCREASE IN THE DEMAND FOR LEGAL SERVICES. II.THE FOCUS OF PAS• S CURRENT BUSINESS AND EXPECTED BUSINESS IS IN THE AREAS OF: * TURNKEY ASSET MANAGER PROGRAMS, EACH OF WHICH HAS MULTIPLE CLIENT INVESTMENT MANAGERS REQURING THE NEGOTIATION OF MULTIPLE AGREEMENTS IN CONTRAST TO THE TRADITIONAL MODEL OF A SINGLE INVESTMENT ADVISOR AGREEMENT AND PRESENTING MORE COMPLEX LEGAL ISSUES * INVESTMENT ADVISORS ENGAGED IN WEALTH MANAGEMENT FOR HIGH NET WORTH CUSTOMERS PRESENTING NOVEL AND COMPLEX LEGAL AND REGULATORY ISSUES WHICH MAY PRESENT REPUTATIONAL RISK CONCERNS AND REQUIRE CAREFUL EVALUATION * INVESTMENT ADVISORS WHICH ARE EITHER BASED OUTSIDE THE UNITED STATES AND/ OR HAVE A CLIENT BASE OUTSIDE THE UNITED STATES. ALL OF THESE INITIATIVES WILL REQUIRE A GREATERDEMANDONLEGAL SUPPORT SERVICES THAN A SIMPLE PROJECTION OF PAS• S CURRENT BUSINESS III. COMMENTS IN EXAMINATION REPORTS ISSUED BY EXTERNAL AND INTERNAL AUDITORS REGARDING THE SEPARATION OF PERSHING LLC AND PAS AND RECOMMENDATIONS THAT PAS BE ADEQUATELY RESOURCED TO DEMONSTRATE ITS ABILITY TO ACT AS A STAND ALONE ENTITY. IV. TO BE ABLE TO ADEQUATELY SUPPORT PAS COMPLIANCE WHICH IN SEPTEMBER 2005 HAD ONE FULL TIME EMPLOYEE BUT NOW HAS EIGHT WITH TWO OUTSTANDING ATRs.

QUALIFICATIONS: I. A. A BACHELOR• S DEGREE B. A LAW DEGREE FROM AN ACCREDITEDLAWSCHOOL C. ADMISSION TO THE BAR OF EITHER NEWJERSEYORNEW YORK.

II. FIVE OR MORE YEARS OF EXPERIENCE AS A PRACTISING ATTORNEY OBTAINED IN A LAW FIRM AND OR IN-HOUSE IN A FINANCIAL SERVICESENTERPRISEAND OR A REGULATORY AGENCY

III. SUBSTANTIVE EXPERIENCE OBTAINED IN THE LAW AND REGULATIONS PERTAINING TO THE INVESTMENT ADVISORS ACT OF 1940 AND THE SECURITIES AND EXCHANGE ACT OF 1934 INCLUDING BUT NOT LIMITED TO THE APPLICABLE RULES AND REGULATIONS OF THE SEC, STATE AND OTHER REGULATORY AGENCIES AND THOSE OF APPLICABLE SELF REGULATORY ENTITIES.

IV. UNDERSTANDING OF THE BUSINESS AND OPERATIONS OF A REGISTERED INVESTMENT ADVISOR AND OF THE RELEVANT COMPLIANCE AND LEGAL ISSUES

V. UNDERSTANDING OF THE BUSINESS AND OPERATIONS OF A REGISTERED BROKER-DEALER AND OF THE RELEVANT COMPLIANCE AND LEGAL ISSUES

Requirements:

Locale New Jersey-Jersey City Expertise Finance, Legal Education Bachelors PercentTravel No Travel Job Level Experienced JobType Full-time Years Experience 3-5 Preferred Language English License/Certification N/A

Please refer to Job code pershing-12324 when responding to this ad.

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