Counsel – Equity Management

Overview

An independent wealth management firm is seeking a Counsel – Equity Management to support its equity compensation strategy and securities law compliance framework. This fully remote role requires a skilled attorney to provide strategic advice on equity plan design, implementation, administration, and regulatory compliance. The position involves collaboration with Legal, Finance, HR, Payroll, and external counsel to ensure compliant and effective equity programs. The role also includes overseeing the use of artificial intelligence tools in equity administration.

Responsibilities

Equity Program Oversight & Administration

• Lead legal matters related to equity compensation and equity management
• Manage day-to-day legal compliance for equity compensation programs, including profits interests, incentive units, and cash-equivalent incentive arrangements
• Advise on design, implementation, and administration of equity compensation programs to align with business objectives and legal requirements
• Collaborate with Finance, HR, Payroll, and Equity Administration teams to ensure accurate and compliant equity grants, vesting, settlements, redemptions, and forfeitures
• Interpret and advise on limited liability company agreement provisions and related equity documentation
• Track and advise on accredited investor status and related compliance requirements

Securities Law & Regulatory Compliance

• Provide advice on securities law compliance related to equity transactions, including the Securities Act, Exchange Act, SEC rules, registration requirements, and exemptions
• Ensure compliance with federal and state securities laws for equity offerings and equity-based compensation
• Prepare and review securities filings such as Form D and related documentation
• Monitor regulatory developments and update internal guidance and documentation accordingly
• Identify and mitigate securities-related risks through review, internal controls, and policy enhancements
• Manage outside securities counsel, including scope definition and legal spend monitoring

Equity Transactions & M&A Support

• Support equity-related legal matters in mergers and acquisitions, including equity consideration structure, due diligence on outstanding equity awards, disclosures, and integration of acquired equity arrangements
• Assist with capital-raising and investor-related equity matters, including subscription agreements
• Collaborate cross-functionally on complex equity management issues such as redemptions, restructurings, and governance
• Work with Employment Legal on restrictive covenants and employment-related equity considerations

Documentation & Template Management

• Draft, review, and maintain equity-related documents including plan documents, award agreements, subscription agreements, participant communications, and templates
• Ensure documentation is current with regulatory changes and internal updates

General Legal Support

• Provide general legal advice and support on business matters, including employment law inquiries
• Offer thought leadership on equity governance and compliance
• Prepare and present updates to leadership and business units on equity program developments and regulatory changes
• Promote a culture of compliance, collaboration, and continuous improvement within the Legal function

Requirements

• Juris Doctor (JD) degree from an accredited law school
• Active bar membership in at least one U.S. state
• 4–8 years of legal experience with strong background in equity compensation programs, corporate law, and securities law
• Experience in law firm or in-house legal department preferred
• Working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, and related SEC rules and exemptions
• Experience drafting and advising on equity plan documents, award agreements, and private offering documentation
• Strong understanding of equity compensation structures in private company environments
• Ability to manage complex, cross-functional initiatives balancing legal risk and business solutions
• Excellent communication, negotiation, and interpersonal skills
• Detail-oriented with strong analytical and problem-solving abilities
• Ability to manage multiple projects in a fast-paced environment with tight deadlines

Compensation & Benefits

• Base salary range: $122,000 to $140,000 (exclusive of bonuses and benefits)
• Eligible for annual corporate bonus and participation in company equity program
• Comprehensive benefits including:
  • Medical, dental, and vision coverage for employees and families
  • Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA)
  • Life and AD&D insurance (employer paid and voluntary options)
  • Short-term and long-term disability, workers compensation (employer paid)
  • 401(k) with match and profit sharing
  • Wellness programs and resources
  • Voluntary benefits including pet insurance
  • Paid time off: 18 days annually (increasing to 25 days after 4 years of service)
  • 12 paid holidays annually (10 predetermined, 2 floating)
  • Paid parental and caregiver leave
  • Tuition, licensing, and credential reimbursement (subject to service requirements)
  • Training and professional development opportunities

Location

• This is a fully remote position.

Additional Information

• Reasonable accommodations are available during the application and selection process.
• The organization is an equal opportunity employer, including disabled and veterans.
• Participation in E-Verify is maintained.
• The role requires the ability to stand or sit for long periods, file documents, use telephone and computer systems.
• Artificial intelligence tools may be used in the initial resume screening process, with human review to ensure fairness and accuracy.