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Senior Counsel - Wealth and Investment Management Investment Solutions

  • Legal & Investigations
  • Full time
  • R-228183

About this role:

Wells Fargo is seeking a Senior Counsel to join the legal team supporting the Wealth and Investment Management Investment Solutions business unit. This is the business unit that is responsible for the development and distribution of various investment products to Wells Fargo wealth management clients. This attorney will join an established and collaborative team of 8-10 attorneys and will have an opportunity to gain exposure and experience advising on a variety of different investment products. Specifically, this attorney will work closely with senior attorneys responsible for advising on insurance, annuities, mutual funds and alternative investment products. This will include, among other things, advising on (i) the negotiation and drafting of distribution/placement agent related agreements, (ii) regulatory and industry trends involving such products, and (iii) risks related to the offering of complex products.


In this role, you will:

  • Advise the business on key legal and business-related contractual provisions in a variety of agreements.
  • Provide advice on legal and regulatory issues related to the distribution of complex investment products.
  • Collaborate closely with other attorneys, as well as members of the Compliance and Risk organizations.
  • Lead or participate in moderately complex initiatives and deliverables and contribute to large-scale planning
  • Provide legal advice and represent of the Company in highly complex litigation, negotiations, settlement discussions, and claims related legal issues
  • Review and analyze moderately complex challenges that require an in-depth evaluation of variable factors
  • Manage highly complex claims and litigation
  • Provide guidance to internal clients on legal matters to assist with legal risk assessment, planning and policy decisions, claims against the Company, probability of loss, and develop cost-effective risk mitigation strategies
  • Draft complex legal documents, review and negotiate documents prepared by outside counsel
  • Independently resolve moderately complex issues and lead team to meet deliverables
  • Identify and analyze complex legal issues, develop conclusions and make recommendations for issue resolution
  • Develop the strategic direction for certain claims functions and management of related policies, procedures and controls to mitigate risk
  • Educate, train, and supervise less experienced attorneys within the Legal department
  • Collaborate with peers, colleagues and mid-level managers to resolve issues and achieve goals
  • Lead projects, teams or serve as a mentor for less experienced staff
  • Work directly with business clients and develop an in depth understanding of business unit activities and products
  • Partner with business leaders and management of other corporate departments to develop and implement risk management programs


Required Qualifications, US:

  • 4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • Active State Bar membership or the equivalent in a country outside the United States


Desired Qualifications:

  • Prior experience advising on insurance and annuity products.
  • Experience drafting and negotiating product distribution agreements, placement agent agreements or other related documents.
  • Demonstrated ability and interest in learning new areas of law and the financial services industry.
  • Prior in-house experience in the wealth management industry, particularly at a dually registered broker-dealer/investment adviser.

New York, New York Pay Range: $138,500 - $287,600 Annually.


Job Expectations:

  • Due to a city-wide mandate in New York City, all individuals who perform in-person work or interact with the public during business must be fully vaccinated against COVID-19.  At this time, this position falls under the scope of this mandate

Pay Range

$138,500.00 - $287,600.00 Annual

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.


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