Deputy General Counsel

The Deputy General Counsel will serve as a senior legal advisor within the legal department, providing strategic legal support to both the Registered Investment Advisory (RIA) and Broker-Dealer arms of the firm. This role requires deep expertise in securities law, investment advisory regulations, and broker-dealer compliance frameworks. The successful candidate will collaborate closely with business leaders, compliance, risk, and operations teams to ensure legal and regulatory alignment across all business activities.

What you will do:

• Provide legal counsel on matters related to investment advisory services, brokerage operations, and financial product distribution.

• Advise senior leadership on regulatory developments, risk mitigation strategies, and legal implications of business initiatives.

• Ensure compliance with SEC, FINRA, and state securities laws and regulations.

• Interpret and implement changes in laws and regulations affecting RIA and broker-dealer operations.

• Draft, review, and negotiate a wide range of contracts including client agreements, vendor contracts, and partnership arrangements.

• Collaborate with outside counsel and manage legal risks proactively.

• Support internal policy development.

• Supervise junior attorneys and legal staff.

• Partner with compliance, risk, and business units to develop integrated legal solutions.

What you need to have:

• Juris Doctor (JD) from an accredited law school.

• Active member in good standing with a state bar.

• Minimum of 15+ years of legal experience, with significant exposure to investment advisory and broker-dealer matters.

• In-depth knowledge of federal securities laws, FINRA rules, and state regulatory frameworks.

• Experience working in-house at a financial institution and/or with a law firm specializing in financial services.

• Strong leadership, communication, and organizational skills.

• Ability to manage multiple priorities in a fast-paced, evolving environment.

What will really catch our eye:

• Familiarity with insurance regulations and alternative investment structures.

• Experience with digital platforms and fintech-related legal issues.

• Strategic thinker with a proactive approach to problem-solving.

• High ethical standards and commitment to integrity.

• Experience in employment law

• Support M&A activity and strategic transactions as needed.

Compensation: 

The salary range for this role is $255,000 - $315,000 plus competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.

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