General Counsel

• Provide legal counsel on matters related to investment advisory services, brokerage operations, and financial product distribution.
• Advise senior leadership on regulatory developments, risk mitigation strategies, and legal implications of business initiatives.
• Legal support to various departments including drafting and negotiation of documentation, research and legal advice (business, finance, accounting, tax, compliance, operations and supervision).
• Ensure compliance with SEC, FINRA, and state securities laws and regulations.
• Interpret and implement changes in laws and regulations affecting RIA and broker-dealer operations.
• Draft, review, and negotiate a wide range of contracts including client agreements, vendor contracts, and partnership arrangements.
• Collaborate with outside counsel and manage legal risks proactively.
• Support internal policy development.
• Supervise junior attorneys and legal staff.
• Partner with compliance, risk, and business units to develop integrated legal solutions.
• Assist with Mergers & Acquisition due diligence, transition, and integration.

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