Senior Associate General Counsel

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 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, 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
• Manage 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 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

• Uninterrupted virtual workspace free from distractions
• Family care arrangements during business hours
• Internet connection speed of 25 Mbps or higher for individual use; higher speeds required if sharing connection
• For call center roles, equipment must be hardwired to the internet router or workstation must be 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
• Additional benefits may include 401(k) match, medical, dental, vision coverage, and paid time off

Location

Remote work with requirements as noted above

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