A little bit of background:

Our client, is a regional high net-worth wealth management, investment advisor, and financial planning firm. The company has successfully offered their services to clients for over three decades. The firm seeks a General Counsel (GC) to manage and run their legal department. The GC will also have compliance oversight responsibilities.

How do I know this job is right for me?

This is an ideal role for an experienced attorney who resides in New Jersey and would love to work there too. If you are tired and worn out by big bureaucratic banks and brokerage firms, working with a midsized RIA/wealth management company would be a welcome change in your career. This GC role is perfect for someone who wants to work closely with the executive management team, and very involved with all the important decisions being made. The GC role is well suited to type of person who likes to get out of their office,  get to know the employees on a first name basis, and feel part of something.

What the GC will do:

  1. The GC will manage daily legal, regulatory, compliance and corporate matters.
  2. The concentration is on the investment adviser, RIA, independent financial planning platform.
  3. Advise management and business personnel on the legal risks related to business activities.
  4. Participate in the new product approval process.
  5. Partner with senior level executives concerning new business initiatives.
  6. Ensure that the company has a top legal team.
  7. Work with, and develop relationships with outside counsel and regulatory agencies.
  8. Draft, structure, negotiate contracts and, agreements.
  9. Manage the legal and compliance team.
  10. File mandated regulatory disclosures and forms.

What they seek in a Candidate:

  1. You should have ten-plus years of experience within the financial, wealth management, RIA, and brokerage industry.
  2. Prior experience with regulatory agencies.
  3. The ability to manage a team and work well with others.
  4. Comfort level with a mid-sized firm.

Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com.

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