In-House Legal Counsel

Overview

A boutique succession planning consulting firm specializing in financial advisors and small business owners is seeking an In-House Legal Counsel. The firm provides valuation services, acquisition support, contingency planning, and personalized succession strategies nationwide. This role offers an opportunity to support legal aspects of transactions and client engagements within the financial services industry.

Responsibilities

• Draft, review, and customize corporate and securities-related contracts, including governance documents, contingency agreements, employment agreements, and purchase agreements.
• Ensure contracts comply with applicable laws, regulations, and internal standards.
• Collaborate closely with project teams to support client engagements and develop legally sound, tailored solutions.
• Oversee daily legal workflows and provide guidance to a paralegal to ensure accuracy and efficiency.
• Maintain compliance with securities laws, regulations, and industry standards; stay current on legal developments.
• Support development and maintenance of internal compliance frameworks and best practices.
• Provide guidance on securities transactions, disclosures, reporting, and regulatory matters.
• Manage legal risks by advising on transaction structures and client recommendations; coordinate with external counsel as needed.
• Oversee corporate governance practices, entity structures, equity arrangements, and governance documentation.
• Develop and deliver training on legal, regulatory, and compliance topics; promote ethical standards across the organization.
• Represent the organization at industry events and webinars, contributing to thought leadership.

Requirements

• Juris Doctor (JD) degree and active bar membership in the United States.
• Typically 6+ years of experience in corporate or transactional law, with exposure to financial services or securities-related matters.
• Strong background in corporate law, mergers and acquisitions, succession planning, employment law, equity sharing, and business formation.
• Experience overseeing legal workflows and supporting junior staff.
• Excellent analytical, communication, and leadership skills.

Preferred Skills

• Ability to adapt and thrive in a dynamic business environment.
• Strong problem-solving skills and results-oriented mindset.
• Working knowledge of securities law and corporate law.
• Proficient verbal and written communication.
• Experience utilizing AI-driven technologies to improve processes and deliverable accuracy.

Compensation & Benefits

• Salary range: $140,000 - $170,000 per year.
• Remote position within the United States.

Location

• Remote (United States)