Senior Counsel
Core
Provide practical, risk-based legal counsel to support the firm's Retail Advisory business, including managed accounts, financial planning, investment research, and portfolio management activities.
Role type
Senior in-house counsel (legal & regulatory)
Builds
Advisory programs, disclosures, agreements, and client-facing materials for retail advisory solutions
Domain
Financial services / Investment advisory / Regulatory compliance
Required skills
Investment Adviser's Act of 1940 expertise, state securities regulations, FINRA rules, regulatory research, risk management, legal drafting, stakeholder influence
Preferred skills
ERISA requirements, regulatory examination support, managed account platforms, dual registrant models, mentoring
Technologies
Legal research tools, compliance platforms
Responsibilities
Advise business partners on legal and regulatory matters affecting advisory products and services; Support development and governance of advisory programs and client-facing materials; Partner with Compliance and Risk to promote effective governance; Provide guidance on emerging legal and regulatory developments; Support regulatory examinations and interactions with regulators
Seniority
Senior, hands-on IC
