VP/Counsel - Private Wealth Management
Core
Provide practical, business-oriented legal advice and support to the Private Wealth Management business, covering product development, client arrangements, and regulatory compliance for investment adviser and broker-dealer activities.
Role type
VP/Counsel (Senior In-House Legal Counsel)
Builds
Legal frameworks and operational support for Private Wealth Management business units
Domain
Financial Services / Private Wealth Management / Investment Management
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
contract drafting and negotiation, regulatory compliance analysis, risk assessment, policy development, client communication, strategic legal advice
Preferred skills
investment adviser and broker-dealer regulations, private wealth management, trusts and estates, ERISA, alternative investments, cross-border legal considerations
Technologies
legal research tools, contract management systems
Responsibilities
Advise on product development, custody, credit, lending, and complex investments; review escalated client communications for complaints; collaborate with compliance on SEC/FINRA adherence; draft and negotiate material agreements; support account opening and operations; maintain internal policies; handle special projects
Seniority
VP/Counsel, strategic leadership with hands-on execution
