This role will provide legal advice on a broad range of matters impacting trust, fiduciary, brokerage, and investment management services, including regulatory compliance with OCC fiduciary regulations (12 CFR Part 9), the Investment Advisers Act of 1940, and applicable broker-dealer regulations. Familiarity with the federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, relevant portions of ERISA and its parallel provisions under the Internal Revenue Code, the Investment Company Act of 1940 and applicable FINRA rules and 12 CFR Part 9.