Overview
A leading independent technology and service platform supporting savings plans across America is seeking a Senior Associate General Counsel to support multiple business lines, primarily focusing on retirement plans. This full-time, exempt position involves providing legal counsel on asset management and federal securities laws, including disclosure, regulatory, compliance, and enforcement matters under SEC rules and FINRA regulation.
Responsibilities
- Serve as primary legal counsel on matters related to asset management and federal securities laws
- Advise on disclosure, regulatory, compliance, and enforcement issues under SEC and FINRA regulations
- Handle enforcement matters and dispute resolution for firms and individual investors
- Maintain strong working knowledge of the Investment Advisers Act of 1940, including Advisor Rules, operations, investment compliance, and legal risk management
- Manage complex financial instruments and strategies, including mutual funds oversight, broker-dealer, advisers and sub-advisers monitoring, fund disclosures, operations, and fiduciary duty compliance
- Apply knowledge of ERISA regulations and private-sector employer-sponsored plans
- Provide expertise in wealth management and fiduciary duties
- Draft, negotiate, review, and interpret contracts and other legal documents
- Stay current with industry regulations, standards, and best practices, including oversight of investment recommendations
- Address day-to-day legal issues arising in a growing and complex business environment
Skills and Attributes
- Provide practical legal advice to business leaders
- Think and act strategically
- Communicate effectively
- Exhibit adaptability and lead change
- Think creatively, solve problems effectively, and act decisively
- Work independently with minimal supervision and collaboratively as part of a team
- Be organized, proactive, and entrepreneurial
- Manage multiple priorities and deliver high-quality work on time
Requirements
- Juris Doctorate from an accredited U.S. law school
- At least 15 years of legal experience
- Licensed to practice law in at least one U.S. state and in good standing
- Experience in law firm (preferably transactional practice) and in-house legal roles is a plus
- Ability to work in a fast-paced and demanding environment
Remote Work Requirements
- Uninterrupted virtual workspace free from distractions
- Family care arrangements during business hours
- Internet speed of 25 Mbps or higher for individual use; higher speeds required if multiple users share the connection
- For call center roles, equipment must be hardwired to the internet router or workstation must be close to the router
Compensation and Benefits
- National average base salary range: $140,000 to $205,000 (exclusive of bonuses and benefits)
- Actual salary may vary based on location, experience, performance, and internal pay alignment
- Additional benefits may include 401(k) match, medical, dental, vision insurance, and paid time off
Location
Remote position with specific workspace and internet requirements as noted above.