Overview In this role you will support a rapidly growing wealth management business as a transactional and regulatory legal resource. You will draft and negotiate contracts, guide regulatory matters, and work with cross-functional teams to enable growth and client transitions. Your practical legal guidance will help align business objectives with compliance and risk management in a fast-evolving environment. This position offers exposure to senior leadership and opportunities to shape the wealth management legal function.
Compensation / Benefits- 15% annual bonus opportunity
- One time grant of 25,000 Class B units
- 15 days PTO first year
- 2 additional paid community service days
- Paid holidays including employee birthday
- 401(k) with company match and immediate vesting
Responsibilities- Draft, review and negotiate commercial agreements and transactional documents
- Advise on regulatory considerations in wealth management and related business initiatives
- Support legal matters involving financial advisors, client transitions, and advisor transitions
- Collaborate with compliance, regulatory, and executive teams to manage risk and processes
- Handle arbitration, litigation and complaints within wealth management
- Coordinate with outside counsel and manage legal expenses
- Support E&O insurance matters and relationships with stakeholders across the organization
- Provide practical, business-aligned legal guidance to stakeholders across the firm
Key requirements- 3-5 years of relevant legal experience; exceptional candidates with 2 years may be considered
- Transactional legal experience in wealth management, asset management, or financial services
- Industry experience in financial services required
- Familiarity with Investment Advisers Act, Securities Act, Investment Company Act, FINRA rules, and state securities laws
- Strong drafting, negotiation, written and verbal communication skills
- Proactive, solution-oriented mindset with ability to advise business stakeholders
- Intellectual curiosity and desire for long-term career in independent wealth management
- Comfort with fast-moving environment and cross-functional collaboration
- Experience with independent RIA, broker-dealer, or law firm representing financial services clients (preferred)
- collaborative
- proactive
- strong communication
- contract drafting and negotiation
- regulatory compliance proficiency
- knowledge of securities laws and FINRA rules
