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Raymond James Financial, Inc. Assistant General Counsel – Equity Capital Markets & Investment Banking in St. Petersburg, Florida


Job Summary:

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to manage all legal matters involving assigned functional area. May lead major projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems or needs. Results are evaluated for achieving goals and objectives. Extensive contact with internal customers, senior management and outside counsel is required to identify, research, analyze and resolves complex legal issues with significant impact.

Essential Duties and Responsibilities

  • Provide proactive legal and regulatory advice and support to Investment Banking and Equity Capital Markets/Syndicate (ECM) Departments with respect to:

  • Private placement/private capital raise mandates (including, Section 4(a)(2), 144A, Reg M, Reg S and PIPEs),

  • Public offerings, including IPOs and follow-on/secondary offerings (including wall crossing and testing the waters procedures), and secondary block distributions.

  • Primary RJ legal point-person for Private Placement Committee and Capital Market Committee meetings.

  • Liaise with Cross-Border Team and outside counsel regarding licensing/regulatory considerations for engagements involving clients and/or transaction counterparties outside of the US or UK.

  • Training and advising Investment Bankers and ECM members on statutory and regulatory matters related to the topics above.

  • Reviewing and assisting in drafting and updating templates (including engagement letter and committee memo templates), transactions documents, policies, and procedures.

  • Provide legal guidance to Investment Bankers and ECM on required regulatory filings.

  • Primary liaison with underwriters’ counsel and outside counsel representing or engaged by RJ Investment Banking or ECM on equity offerings and private placements.

  • Plans, assigns, monitors and leads the work of others.

  • Reviews performance and evaluates results achieved by others.

  • Coaches and mentors others, including providing guidance and direction to a paralegal staff and developing a regular program of continuing education and career development opportunities.

  • Interprets, applies and recommends changes to organizational policies and procedures.

  • Reviews progress of assignments with RJ counsel and senior management.

  • Balances conflicting resource and priority demands.

  • Assists others in developing, preparing and presenting legal theories and strategies.

  • Provides advice, counsel and recommendations to senior management on corporate action.

  • Prepares and delivers written and oral presentations to management and senior management on legal issues.

  • Maintains currency in corporate laws and regulations related to assigned functional areas.

  • Support Investment Bankers and ECM associates located in the US, UK and Germany, in consultation and collaboration with RJ counsel and outside counsel.

  • Operates standard office equipment and uses required software applications.

  • Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities

Knowledge of:

  • Advanced concepts, principles and practices of laws and regulations related to assigned functional areas.

  • Advanced investment concepts, practices and procedures used in the securities industry.

  • Advanced principles of banking, finance, and securities industry operations.

  • Advanced financial markets and products.

Skill in:

  • Managing a heavy volume of complex corporate legal functions.

  • Developing, preparing and presenting legal theories and strategies.

  • Preparing and delivering written and oral presentations to senior management on legal issues.

  • Operating standard office equipment and using required software applications.

Ability to:

  • Plan, assign, monitor and lead the work of others.

  • Review performance and evaluate results achieved by others.

  • Coach and mentor others.

  • Interpret, apply and recommend changes to organizational policies and procedures.

  • Provide legal advice, counsel and recommendations to senior management on significant issues.

  • Balance conflicting resource and priority demands.

  • Partner with other functional areas to accomplish objectives.

  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

  • Gather information, identify linkages and trends and apply findings to assignments.

  • Read, interpret, analyze and apply complex legal 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, a heavy diverse case load 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, including negotiating resources.

Educational/Previous Experience Requirements:

  • Education/Previous Experience

  • Juris Doctorate with excellent academic credentials and minimum seven (7 ) years of progressively responsible experience in relevant practice area(s).


  • Any equivalent combination of experience, education, and/or training approved by Human Resources.


  • Ability to obtain Authorized House Counsel.

Job: Legal

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Legal

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2102890