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At First Republic, we care about our people. Founded in 1985, we offer extraordinary client service in private banking, private business banking and private wealth management. We believe that personal connections are everything and our success is driven by the relationships we form with our colleagues and clients. You’ll always feel empowered and valued here.  Incredible teams doing exceptional work, every day

The Audit, Risk, Compliance and Legal groups support First Republic’s business objectives by systematically improving the effectiveness of its risk management, control and governance processes. We own and administer these processes while educating our colleagues to best support them. Our mission is to promote a culture of compliance and to be the best partner we can to our business stakeholders.
What you’ll do as Private Wealth Management Senior Counsel:
– Providing real-time legal advice and recommendations to First Republic Securities Company’s compliance and business partners (both client-facing and corporate staff).
– Reviewing and negotiating legal contracts, including client agreements, selling agreements, insurance agreements, and 10b5-1 plans.
– Assisting with regulatory inquiries from the SEC, FINRA, states and other regulators such as the FDIC, as well as internal and external audit requests.
 – Assisting with registration filings and related inquiries from FINRA and state securities regulators.
– Handling litigation and regulatory enforcement matters, and managing outside litigation counsel as appropriate. Advising on or handling customer complaints and civil subpoenas.
– Researching issues that may involve legal or factual complexity, through examination of documents and/or factual investigation, as well as independent legal research.
– Identifying and driving implementation of operational enhancements and internal policies/procedures in order to effectively mitigate risk and improve efficiency.

You could be a great fit if you have:
– J.D. and member of California bar in good standing.
– 5 to 8 years of experience practicing law.
– Prior in-house experience at a wealth management firm or broker-dealer, or private practice representation of same is preferred.
– Intermediate understanding of the securities laws and regulations applicable to broker-dealers.
– Some litigation background is preferred.
Job Demands
– Must be able to review and analyze data reports and manuals.
– Must be computer proficient.
– Must be able to communicate effectively via telephone and in person.
– Must be able to travel as position requires. Travel is required depending on litigation matters and hearing locations.
Please apply here.