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, strategic legal advice to business leaders
- Communicate effectively and lead change with adaptability
- Think creatively, solve problems decisively, and act independently
- Collaborate effectively as part of a team
- Demonstrate organization, proactivity, and 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) and in-house legal roles is a plus
- Ability to work in a fast-paced, 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 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 coverage, paid time off, and more
Location
Remote position with specific workspace and internet requirements as noted above.