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 position involves providing legal counsel on asset management and federal securities laws, including SEC and FINRA regulations, as well as handling enforcement matters and dispute resolution.
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, including mutual funds, broker-dealer oversight, advisers and 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
- Provide practical, strategic advice to business leaders
- Communicate effectively and exhibit adaptability
- Lead change and think creatively to solve problems decisively
- Work independently with minimal supervision and collaboratively as part of a team
- Demonstrate organization, proactivity, entrepreneurial spirit
- Manage multiple priorities while delivering high-quality, timely work
Requirements
- Juris Doctorate from an accredited U.S. law school with at least 15 years of 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 with no distractions
- Family care arrangements during business hours
- Internet speed of 25 Mbps or higher for individual use; higher speeds required if sharing connection
- For call center roles, equipment must be hardwired or workstation near router
Compensation and Benefits
- National average base salary range: $140,000 to $205,000 (excluding 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 coverage, paid time off, and more
Location
Remote work with specific workspace and internet requirements as noted above.
The organization is an Equal Opportunity Employer committed to fair hiring practices. Applicants should be cautious of employment fraud and only respond to official communications originating from authorized company email domains.