Senior Counsel – Invest Group (Broker-Dealer Experience)

Ally and Your Career

Ally Financial only succeeds when its people do
– and that’s more than some cliche people put on job postings.

We live this stuff!

We see our people as, well, people
– with interests, families, friends, dreams and causes that are all important to them.

Our focus is on the health and safety of our teammates as well as work-life balance and diversity and inclusion.

From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves expertly.

We want to help you grow, develop, and learn new things.

You’re constantly evolving, so shouldn’t your opportunities be, too?

The Opportunity

The Invest Senior Counsel (ISC) will be responsible for providing legal support to the Ally Invest line of business, and primarily to the self-directed brokerage business offered through Ally Invest Securities.

Areas of support will include product development, marketing, servicing, regulatory change, and integration efforts with third party vendors or potentially acquired institutions or portfolios.

As a digital business, Ally Invest does not have any branches or sales offices, and relies exclusively on its online platform, call centers and mobile applications to provide superior products and services.

The ISC will report to the Invest Associate General Counsel.

For this position, Ally is seeking an experienced lawyer who is equanimous, solution-oriented, and collaborative, exhibiting accountability, empathy, and a drive to excel.

The location for this position will be Charlotte, NC.

The Work Itself
Juris Doctor from an accredited law schoolAt least five years’ experience supporting or advising broker-dealers, ideally in the self-directed space.

Experience supporting investment advisers or commodities introducing brokers is a plus.Facility with relevant federal securities laws, rules, and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA rules, SEC regulations, and related interpretations and guidance.

Working knowledge of the Investment Advisers Act of 1940, the Commodity Exchange Act, or blue sky laws is a plus.Understanding of the relationship between the laws and regulations governing a Financial Holding Company and those governing a subsidiary broker-dealer.Experience working at or responding to regulatory agencies and self-regulatory organizations, including the SEC and FINRA, is a strong plus.Alignment with Ally’s culture, including a contagious enthusiasm for serving others, being inclusive, and excelling togetherUnquestioned reputation for ethical conduct and integrityExemplary written and oral communication skillsIntellectual curiosity and entrepreneurial zealStrong work ethic and an ownership and goal-oriented mentality
How We’ll Have Your Back

Ally’s compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals.

But Ally’s total compensation
– or total rewards
– extends beyond your paycheck and is designed to support and enrich your personal and professional life, including:
Time Away: competitive holiday and flexible paid-time-off, including time off for volunteering and voting.Planning for the Future: plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions, student loan and 529 educational assistance programs, tuition reimbursement, and other financial well-being programs.Supporting your Health & Well-being: flexible health and insurance options including dental and vision, pre-tax Health Savings Account with employer contributions and a total well-being program that helps you and your family stay on track physically, socially, emotionally and financially.Building a Family: adoption, surrogacy, and fertility support as well as parental and caregiver leave, back-up child and adult/elder day care program and child care discounts.Work-Life Integration: other benefits including LifeMatters Employee Assistance Program, subsidized and discounted Weight Watchers program and other employee discount programs.
Who We Are

Ally Financial is a customer-centric, leading digital financial services company with passionate customer service and innovative financial solutions.

We are relentlessly focused on “Doing it Right” and being a trusted financial-services provider to our consumer, commercial, and corporate customers.

For more information, visit www.ally.com.

Ally is an equal opportunity employer committed to diversity and inclusion in the workplace.

All qualified applicants will receive consideration for employment without regard to age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.

We are committed to working with and providing reasonable accommodation to applicants with physical or mental disabilities.

For accommodation requests, email us at work@ally.com.

Ally will not discriminate against any qualified individual who is capable of performing the essential functions of the job with or without reasonable accommodation.