Overview
A leading independent technology and service platform supporting savings plans across the U.S. is seeking a Senior Associate General Counsel to support multiple business lines, primarily focusing on retirement plans. This full-time, exempt role involves providing legal counsel on asset management and federal securities laws, including SEC and FINRA regulatory, compliance, and enforcement matters.
Responsibilities
- Serve as primary legal counsel on matters related to the Investment Advisers Act of 1940, including Advisor Rules, operations, investment compliance, and legal risk management
- Advise on complex financial instruments and strategies such as mutual funds, including oversight of broker-dealers, advisers, sub-advisers, fund disclosures, operations, and fiduciary duties compliance
- Provide guidance on ERISA regulations and private-sector employer-sponsored plans
- Draft, negotiate, review, and interpret contracts and other legal documents related to wealth management and fiduciary duties
- 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
- Ability to provide practical legal advice to business leaders
- Strategic thinking and decision-making capabilities
- Effective communication skills
- Adaptability and leadership in managing change
- Creative problem-solving and decisive action
- Ability to work independently with minimal supervision and collaboratively within a team
- Organized, proactive, entrepreneurial mindset
- Strong multitasking and prioritization skills to deliver high-quality, timely work
Requirements
- Juris Doctorate from an accredited U.S. law school with a minimum of 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
- Willingness to work in a fast-paced and demanding environment
Remote Work Requirements
For virtual remote positions, candidates must have an uninterrupted workspace free from distractions and family care arrangements during business hours. A minimum internet speed of 25 Mbps for individual use is required; higher speeds are necessary if multiple users share the connection. For call center roles, equipment must be hardwired to the internet router or located near 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
- Benefits may include 401(k) match, medical, dental, vision insurance, paid time off, and more
Location
Remote work with the above technical and workspace requirements
The organization is an Equal Opportunity Employer committed to fair hiring practices.