Associate General Counsel

Our client is a leading Registered Investment Adviser (RIA) committed to delivering bespoke wealth management and investment solutions to their clients.
This firm specializes in providing affluent individuals, institutions, and finance professionals with reliable asset management and advisory services. Its strategy is focused on long-term investment solutions, underpinned by thorough, proprietary research.

Viewing financial planning and wealth management as proactive and interactive processes, the firm collaborates closely with clients to identify and execute strategies that meet their specific requirements. As an independently managed entity, its dedication is exclusively to its clients, for whom it manages and advises on assets totaling over $11.63 billion. They are seeking an experienced Associate General Counsel to join their legal team. This position will play a pivotal role in ensuring their operations align with regulatory requirements and in safeguarding the firm's integrity.

Offers a dynamic and collaborative working environment, where your contributions are valued and rewarded.
Provides competitive compensation, comprehensive benefits, and opportunities for professional growth.
Clear track to becoming General Counsel for this position

Key Responsibilities:

• Regulatory Compliance and Advisory: Ensure adherence to all relevant securities laws and regulations, including SEC and state regulators. Advise on compliance matters and develop policies and procedures to maintain compliance.
• Contract Management and Negotiation: Review, draft, and negotiate contracts such as client agreements, vendor contracts, and partnership agreements, ensuring they meet legal standards and protect the firm's interests.
• Risk Management and Mitigation: Identify and evaluate legal and regulatory risks; develop strategies to mitigate these risks through internal controls and compliance mechanisms.
• Corporate Governance: Provide guidance on corporate governance matters, assist the board of directors and management in governance responsibilities, and ensure corporate actions comply with legal and regulatory standards.
• Dispute Resolution and Litigation Management: Oversee litigation and disputes, including client complaints and regulatory actions. Coordinate with outside counsel and develop resolution strategies.
• Legal and Strategic Advising: Offer legal advice on a wide range of issues, from strategic business decisions to employment law and intellectual property protection.
• Education and Training: Conduct training sessions on compliance and legal issues to promote a culture of legal awareness within the organization.
• Client and Investor Relations: Handle legal inquiries from clients and investors, particularly regarding services, investment products, and regulatory status.

Qualifications:

• Juris Doctor (JD) from an accredited law school.
• Minimum of 5 years of legal experience, specifically within the RIA space, either working in-house at a wealth manager or asset manager, or supporting such clients in a law firm setting.
• Deep understanding of the regulatory framework governing RIAs, including SEC and state compliance requirements.
• Proven ability to manage complex contracts and negotiate effectively.
• Strong analytical skills and expertise in risk assessment and management.
• Excellent communication skills, with the ability to advise senior management and work collaboratively across teams.