Deputy General Counsel

Cnect

full-time

Posted on: 8/30/2025

Origin: • 🇺🇸 United States • California

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💰 $255,000 - $315,000 per year

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.

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.