Assistant General Counsel, Retail Brokerage Platform
Hybrid · Charlotte, North Carolina, United States or Malvern, Pennsylvania, United States
Job Summary
Senior counsel role advising the Personal Wealth brokerage/wealth platform on trading activities, market access, and regulatory oversight. Counsel on distribution of investment products (mutual funds, ETFs, fixed income, private markets) and provide guidance on product development, governance, and lifecycle supervision. Support regulatory exams and inquiries, align with FINRA/SEC rules (including Reg BI), and partner with business, compliance, and risk leaders to enable platform innovation (AI and digital enablement) and complex product offerings. Lead and develop legal talent, foster a high-performing team culture, and partner with senior stakeholders to shape strategy and risk management across platform operations.
Required Qualifications
- J.D. with 10+ years of experience in broker-dealer, investment management, or financial services law
- Deep expertise in trading/market structure and brokerage regulation
- Experience with a broad range of investment products, including alternatives/private markets
- Track record advising on product governance, supervision, and platform risk management
- Strong executive presence with the ability to influence and partner across senior stakeholders
- Demonstrated people leadership experience or readiness to step into a management role, including mentoring, developing talent, and driving team performance
Additional Requirements
- Sponsorship not offered for this position
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