The Legal Counsel will analyze and interpret applicable laws, regulations, and regulatory guidance, including the Investment Advisers Act of 1940, Regulation Best Interest, the federal securities laws, FINRA rules, ERISA, and the Internal Revenue Code; provide legal advice regarding retail advisory and brokerage products and services, including client agreements, disclosures, regulatory filings, and related governance and supervisory matters; and provide legal support for strategic business initiatives, product development, and regulatory matters affecting the firm’s retail wealth management businesses. Demonstrated experience advising on matters arising under the Investment Advisers Act of 1940, Regulation Best Interest, the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, FINRA rules, ERISA, the Internal Revenue Code, and related rules, regulations, and regulatory guidance.