Associate General Counsel III, LGL Investment Advisory Attorney

Overview

This role involves providing legal advice and support related to investment advisory programs within a well-established Fortune 500 financial services firm. The position requires an experienced attorney to work closely with firm leaders to interpret federal laws and regulations, manage contractual agreements, and support the development and enhancement of investment advisory solutions.

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 guidance on the development of investment advisory programs.
• Develop and implement risk management solutions to protect the firm.
• Analyze and resolve complex legal issues, recommending changes to policies and procedures.
• Collaborate effectively with associates across the firm and legal division to advance initiatives.
• Communicate complex legal matters clearly to both legal and non-legal professionals, 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 location details are not provided.

Additional Information

• The posting is anticipated to remain open for 30 days from July 8, 2026, but may close early due to applicant volume.
• The employer complies with applicable laws regarding non-discrimination and fair chance hiring practices.
• Background checks are conducted consistent with regulatory requirements.