Overview
A leading organization in the Finance & Insurance sector is seeking a Senior Counsel specializing in Advice and Brokerage. This role involves delivering legal guidance and ensuring compliance within broker-dealer and investment advisory services. The position offers significant visibility, opportunities for growth, and the chance to impact key business outcomes.
Responsibilities
- Provide legal advice on broker-dealer and investment advisory matters, including wrap fee programs and financial planning
- Draft and review compliance-related documents, policies, and contracts
- Collaborate with various departments to ensure adherence to regulations and alignment with business initiatives
- Monitor and interpret legal developments affecting services and communicate relevant findings
- Perform other duties as assigned
Requirements
- Juris Doctor degree and active bar admission
- Minimum of 8 years of securities law experience, with a focus on retail broker-dealer and investment advisory services
- Strong expertise in the Investment Advisers Act of 1940, Securities Exchange Act of 1934, and FINRA rules
- Excellent verbal and written communication skills, capable of simplifying complex legal concepts for non-legal stakeholders
- Ability to work independently with sound judgment
- Proven capability to manage multiple projects and meet deadlines
- Strong relationship-building and consensus-influencing skills
Preferred Qualifications
- Knowledge of trading platforms and compliance software
- Familiarity with investment product offerings and financial services regulations
- Experience with contract management software
- Ability to navigate regulatory reporting requirements
Compensation & Benefits
- Annual salary range: $164,170 – $262,670
- Competitive total rewards package including base pay and 401(k) plan with matching contributions
- Flexible and hybrid work schedules to support work-life balance
- Tuition reimbursement for continued education
- Opportunities for professional and career development, including courses and certifications
- Comprehensive wellness programs addressing physical, mental, and emotional health
- Volunteerism initiatives to encourage community engagement
Location
- Remote position
- Candidates must be based in the United States
- No visa sponsorship available