Associate Counsel

Lupton Partners Job Posting: Associate In-House Counsel

Compensation: $90,000 - $125,000, based on experience.

Overview

Lupton Partners is recruiting for the position of Associate In-House Counsel on behalf of our client, a well-established, Kansas City-based organization operating nationwide. This role is a key addition to the company’s expanding legal and compliance team, supporting a transition plan for the retirement of the Chief Legal Officer. The ideal candidate will have a JD, an active bar admission in good standing, and experience in either a law firm or a financial services organization.

This position offers a unique opportunity for professional growth, with direct exposure to senior leadership and increasing responsibilities within the organization’s legal and compliance functions.

Key Responsibilities

• Regulatory Analysis & Interpretation: Research and interpret federal and state regulations related to insurance and broker-dealer (FINRA) compliance to support the organization’s legal and compliance teams.
• Compliance Support: Assist the compliance department in developing and implementing policies and procedures that align with evolving regulatory requirements.
• Corporate Governance: Support senior legal leadership in maintaining corporate governance structures, reviewing contracts, and advising on legal risks.
• Regulatory Filings & Examinations: Help prepare and respond to regulatory inquiries, examinations, and audits from FINRA, SEC, and state insurance regulators.
• Training & Advisory: Provide guidance and training to internal teams on regulatory changes and legal best practices.
• Cross-Functional Collaboration: Work closely with senior leadership, compliance, and risk management teams to ensure regulatory alignment and mitigate potential risks.
• Professional Growth Opportunity: Gain exposure to high-level legal and compliance decision-making, with a path for increased responsibility and career advancement.

Qualifications

• Education: JD from an accredited law school.
• Bar Admission: Active bar membership in good standing.
• Experience: 2+ years of experience in a law firm or financial services organization, with exposure to regulatory compliance, insurance law, or securities regulations.
• Regulatory Knowledge: Familiarity with FINRA, SEC, and state insurance regulatory frameworks.
• Communication Skills: Strong ability to analyze complex regulations and effectively communicate legal guidance to business teams.
• Growth Mindset: Eager to develop expertise and expand responsibilities within the legal and compliance functions.