Vice President & Chief Counsel, Wealth Management
About the Company
Top financial services company specializing in retirement, investments & insurance
Industry
Financial Services
Type
Privately Held, Private Equity-backed
Founded
1991
Employees
5001-10,000
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a Vice President and Chief Counsel for Wealth Management. The successful candidate will be the primary legal advisor to the company's wealth management product and sales teams, providing guidance on a wide range of legal issues related to retirement products and services. This role is pivotal in supporting strategic initiatives, ensuring regulatory compliance, and protecting the company's legal interests. The Chief Counsel will be responsible for advising on all legal aspects of the product lifecycle, from conception to launch, and will play a key role in the maintenance and refinement of new products and features. Applicants must have a Bachelor’s degree and a Juris Doctor degree from an accredited law school, with a minimum of 10 years' experience in the retirement industry. The role requires in-depth knowledge of FINRA, SEC, DOL, and IRS regulations, as well as strong relationship management, communication, and presentation skills. The Chief Counsel will also be involved in drafting and negotiating commercial agreements, monitoring regulatory matters, and advising on compliance with federal and state laws. The ideal candidate will be a reliable, self-starting, detail-oriented professional with the ability to manage multiple priorities and deadlines.
Hiring Manager Title
Chief Legal and Corporate Development Officer
Travel Percent
Less than 10%
Functions
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