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Counsel, Subpoena Compliance
Raymond James
Posted Jan 08 Full TimeHybridSt. Petersburg, Florida Job Description
Responsibilities:
- Provides legal review and represents the organization in assigned functional area(s).
- Reviews legal issues to ensure the organization’s interests are protected.
- Coordinates with outside counsel in activities associated with functional area(s) as required.
- Communicates and negotiates with counsel involved in proceedings from which subpoena are issued to resolve issues relating to subpoenas.
- Drafts documents and performs legal research associated with assigned functional area(s).
- Maintains currency in legal issues in assigned functional area(s).
- Operates standard office equipment and uses required software applications.
- Performs other duties and responsibilities as assigned.
Qualifications - External
Knowledge, Skills, and Abilities
Knowledge of
- Legal principles and rules governing document and testimony subpoenas.
- Investment concepts, practices and procedures used in the securities industry.
- Principles of banking and finance and securities industry operations.
- Financial markets and products.
Skill in
- Responding to subpoenas.
- Coordinating work with paralegals.
- Performing legal review.
- Providing legal representation.
- Reviewing for potential legal issues in assigned functional area(s).
- Performing legal research.
- Operating standard office equipment and using required software applications.
Ability to
- Maintain currency in legal issues related to assigned functional area(s).
- Progressively learn about assigned functional area(s) and other business areas.
- Gather information, identify linkages and trends and apply findings to assignments.
- Read, interpret, analyze and apply regulatory and compliance information
- 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 a heavy workload and provide a high level of customer service in a calm and professional manner.
- Establish and maintain effective working relationships at all levels of the organization.
Education
Juris Doctor (JD): Law
Work Experience
General Experience - 3 to 6 years
Certifications
State Bar (Any State) - American Bar Association
Travel
Less than 25%
Workstyle
Hybrid
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in mind
- Take ownership and hold themselves and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm
At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.