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
- 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 work on time
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 located near the 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 insurance, paid time off, and more
Location
Remote position with specific workspace and internet requirements as noted above.