Associate General Counsel - Personal Wealth Products

Overview

This role involves serving as lead counsel to the Personal Wealth product organization, advising on the design, development, implementation, and distribution of innovative wealth offerings. You will partner across retirement, wealth, compliance, and business teams where those areas intersect, helping design and launch next-generation wealth solutions for millions of customers.

Responsibilities

• Serve as lead counsel to the Personal Wealth product organization, providing legal guidance on the design, development, implementation, and distribution of innovative wealth offerings
• Partner with product, compliance, risk, and business leaders from concept through launch to ensure aligned, practical solutions across legal, risk, and compliance while enabling speed to market
• Coordinate across the broader legal team to deliver aligned, consistent, and business-oriented guidance, supporting a “one voice” approach
• Navigate complex legal and regulatory frameworks, including the Investment Advisers Act, the Exchange Act, SEC and FINRA rules, ERISA/DOL fiduciary standards, and state laws and regulations
• Advise on product structures and distribution across direct-to-consumer and advisor-led channels
• Provide guidance on SEC and ERISA fiduciary obligations as applicable, Reg BI, conflicts of interest management, and client disclosures
• Advise on and help shape the responsible use of artificial intelligence and data-driven technologies in wealth products, including evolving state and federal guidance and rulemaking related to predictive analytics, conflicts of interest, model governance, and client communications
• Support product governance, regulatory filings, and client-facing materials
• Advise on third-party partnerships and evolving fintech capabilities
• Monitor regulatory and industry developments and translate them into practical guidance for product, compliance, and other legal stakeholders

Requirements

• J.D. and active bar membership
• 15+ years of experience advising retail wealth management businesses (RIA, broker-dealer, or hybrid)
• Strong knowledge of wealth management legal and regulatory frameworks, including deep familiarity with SEC, FINRA, and state regulatory regimes, particularly related to duties of care, disclosure, and conflicts of interest
• Exposure to emerging wealth products, including direct indexing, alternatives, and retirement income strategies
• Experience supporting product strategy, development, and launch, ideally in a fast-paced or technology-enabled environment
• Sound judgment and ability to balance legal and regulatory risk with business objectives
• Comfort operating in evolving or ambiguous regulatory environments
• Senior individual contributor with strong cross-functional influence
• Executive presence and ability to communicate practical legal guidance clearly to senior business, product, and other legal stakeholders

Preferred Qualifications

• Experience at integrated retirement/wealth service providers, asset managers, RIAs, broker-dealers, fintech platforms, or other scaled financial services firms
• Strong knowledge of wealth management legal frameworks, with familiarity with or experience in retirement/ERISA frameworks strongly preferred
• Familiarity with digital platforms, data-driven personalization, or fintech partnerships
• Experience advising on distribution across retirement, direct-to-consumer, and advisor-led channels
• Experience with product governance committees, disclosure/conflicts governance, and regulatory examinations
• Familiarity with emerging retail products such as cryptocurrencies, stablecoins, and prediction markets

Compensation & Benefits

• Base Salary Range: $183,600.00 - $266,250.00
• Non-sales positions may participate in a bonus program
• Sales positions are eligible for sales incentives, and in some instances a bonus plan, with total compensation potentially exceeding base salary depending on individual performance
• Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level, and will be finalized at the time of offer

Benefits include:

• Medical, dental, vision, and life insurance
• Retirement savings: 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Tuition reimbursement up to $5,250/year
• Paid time off upon hire, including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
• Paid volunteer time: 16 hours per calendar year
• Leave of absence programs, including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
• Business-casual environment, including the option to wear jeans
• Business Resource Groups (BRGs) open to all

Location

Remote or hybrid (remote/hybrid requires reliable high-speed internet with a wired connection and a place in the home to work with limited disruption; you must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.)

Work Authorization

Applicants must be authorized to work for any employer in the U.S. The employer is unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.

Application Deadline

Job Posting End Date: 11-06-2026 at 12:01 am