Director, Corporate Securities – Assistant General Counsel
HP
Deputy General Counsel
Cnect
full-time
Posted on:
Location: California • 🇺🇸 United States
Visit company websiteSalary
💰 $255,000 - $315,000 per year
Job Level
SeniorLead
About the role
- Serve as a senior legal advisor providing strategic legal support to RIA and broker-dealer arms of the firm.
- Provide legal counsel on investment advisory services, brokerage operations, and financial product distribution.
- Advise senior leadership on regulatory developments, risk mitigation strategies, and legal implications of business initiatives.
- 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 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.
Requirements
- Juris Doctor (JD) from an accredited law school.
- Active member in good standing with a state bar.
- Minimum of 15+ years of legal experience, with significant exposure to investment advisory and broker-dealer matters.
- In-depth knowledge of federal securities laws, FINRA rules, and state regulatory frameworks.
- Experience working in-house at a financial institution and/or with a law firm specializing in financial services.
- Strong leadership, communication, and organizational skills.
- Ability to manage multiple priorities in a fast-paced, evolving environment.
- Familiarity with insurance regulations and alternative investment structures.
- Experience with digital platforms and fintech-related legal issues.
- Strategic thinker with a proactive approach to problem-solving.
- High ethical standards and commitment to integrity.
- Experience in employment law.
- Ability to support M&A activity and strategic transactions as needed.
