Senior Associate General Counsel, LRC

Overview

A leading independent technology and service platform supporting savings plans across the U.S. is seeking a Senior Associate General Counsel. This full-time, exempt role primarily supports retirement plan business lines, focusing on asset management and federal securities laws. The position involves advising on disclosure, regulatory, compliance, and enforcement matters under SEC and FINRA regulations, as well as handling enforcement and dispute resolution for firms and individual investors.

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 duty 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 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, 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 near the router

Equal Opportunity

The employer is an Equal Opportunity Employer committed to fair hiring practices.