Assistant General Counsel -Wealth Management

Job Summary

Required Qualifications

• 4+ years of investment management legal and regulatory experience (law firm, investment manager serving retail clients, and/or regulator/government agency)
• In-depth knowledge of the Investment Advisers Act of 1940 and related SEC rules applicable to advisory programs
• In-depth knowledge of FINRA rules, including sales practices, suitability, and Regulation Best Interest (Reg BI)
• Demonstrated ability to advise on conflicts, fiduciary considerations, disclosures, and marketing practices for retail advisory offerings
• Experience supporting discretionary and/or non-discretionary advisory strategies and managed account program structures
• Strong drafting skills across client-facing and platform documentation, disclosures, and negotiated agreements
• Proven judgment in balancing regulatory requirements with business objectives in a fast-paced environment
• Excellent analytical and problem-solving skills, with an ability to identify key issues and provide actionable guidance
• Strong organizational skills and ability to manage multiple matters and stakeholder expectations simultaneously
• Collaborative mindset and ability to partner effectively with Compliance, Risk, and other control functions
• Bar admission required; attorney must be licensed and in good standing in the state/jurisdiction of the role (or compliant with applicable in-house counsel registration rules)