Associate General Counsel III, LGL Investment Advisory Attorney

Overview

This role is for an experienced attorney to provide legal advice and support related to investment advisory programs within a well-established Fortune 500 financial services firm. The position involves working closely with firm leaders to interpret federal laws and regulations, manage contractual agreements, and support the development and execution of investment advisory initiatives.

Responsibilities

• Provide legal, strategic, and tactical support for the firm's investment advisory programs.
• Interpret and apply federal laws and regulations governing investment advisory services.
• Maintain and update the firm's Form ADV (Parts I, II, and III), including annual and interim updates.
• Offer legal leadership and strategic advice on the development of investment advisory programs.
• Develop and implement risk management solutions to protect the firm.
• Analyze and resolve complex legal issues and recommend policy or procedural changes.
• Collaborate effectively with colleagues across the firm and legal division to advance key initiatives.
• Communicate complex legal matters clearly to both legal and non-legal stakeholders, including senior leadership.
• Coordinate with outside counsel to address complex or unique legal questions.

Requirements

• Juris Doctorate and licensed to practice law in the State of Missouri or another state.
• Minimum of 10 years of progressive professional experience in relevant legal practice areas.
• Experience representing broker-dealers and registered investment advisors in private practice, or experience as in-house counsel for a registered investment advisor.
• Strong legal knowledge, judgment, work ethic, integrity, and ability to maintain confidentiality.
• Experience working with the SEC and FINRA is preferred.
• Experience with alternative investments is preferred.
• Technological aptitude and ability to learn new technologies.

Compensation & Benefits

• Medical, prescription drug, dental, and vision coverage.
• Voluntary benefits including accident, hospital indemnity, and critical illness insurance.
• Short- and long-term disability, basic life, and AD&D coverage provided at no cost.
• 401(k) retirement plan.
• Health savings account and flexible spending account options.
• Ten paid holidays and 15 days of vacation for new associates starting January 1 each year.
• Sick time, personal days, and a paid day for volunteerism.
• Eligibility for bonuses and profit sharing.
• Access to an Employee Assistance Program.

Location

This position requires licensure to practice law in Missouri or another state; specific work location details are not provided.

Additional Information

Applicants with arrest or conviction records will be considered in accordance with applicable fair chance laws. Background checks will be conducted consistent with regulatory requirements.