Job Details

Senior Counsel

Company name

Cetera Financial Group, Inc

Organization Type


Job Type


Date Last Verified

Oct 16,2018

Posted on

Jan 06,2018

Years of Experience

Min 5 yrs required


El Segundo, CA
Practice Area
Corporate >> Corporate - Investment Company Act
Corporate >> Corporate - Securities and Capital Markets
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Senior Counsel The candidate will develop expertise in firm’s business and the relevant laws and regulations so that you can provide actionable, proactive, practical and sound legal advice to your business and compliance partners. Will work on a wide range of business matters including investment adviser and broker-dealer regulatory compliance (with preference given to candidates with experience related to the Investment Advisers Act of 1940 and ERISA), foundational corporate governance, and emerging legal and regulatory matters. Providing dedicated legal support on the development and maintenance of investment advisory programs. Drafting and reviewing Form ADVs, contracts, policies and procedures and program training modules. Interfacing with outside counsel and in-house Legal, Compliance and business partners to address issues or evaluate new business opportunities. Legal research and analysis of complex legal and business issues. Document drafting and editing, including contracts and correspondence. Active participation on project teams. Management of the efficient use of outside counsel. Must have 5+ years of relevant experience at a law firm, securities regulatory agency or in-house legal department. Should have JD with a strong academic background, and admission to the California bar or ability to register as in-house counsel in California. Practical knowledge of and experience providing advice regarding laws, rules and regulations relating to investment advisers and broker-dealers, with a preference for experience related to the Investment Advisers Act of 1940. Excellent oral and written communication, analytical, research and strategic thinking skills is required. Sound judgment and problem-solving skills is needed.

Additional info

Ref: 18006

Company info

Hiring Coordinator
Cetera Financial Group, Inc
200 North Sepulveda Boulevard
Suite 1200
El Segundo, CA 90245

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