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Years of Experience
Date Last Verified
ProfileVice President, Legal Candidate will be a key resource, with the opportunity to both prepare the company for a potential initial public offering as well as gain exposure to the regulatory and compliance issues that come with being a leading stand-alone wealth management company. Will use experience on pre-IPO planning and IPO execution, as well as fortify your legal knowledge, particularly as it relates to the complexities of securities regulations and the development of the business strategy for an investment advisory platform with over $42 billion in assets. Work closely with their corporate clients and broaden their legal horizon to use their experience in corporate securities and expand their general financial regulatory knowledge in a collegial and dynamic working environment. Responsibilities will be to 1) help lead a firm-wide pre-IPO planning project, and 2) be a part of the legal and compliance team to tackle issues arising daily, including the negotiation of various contracts and client agreements, broker-dealer, investment adviser and mutual fund regulatory compliance issues, as well other corporate matters that may suit prior experience or interest.
Qualification and Experience
Qualifications: Direct legal experience in corporate securities is strongly preferred. Experience in the securities brokerage, investment advisory or mutual funds industry is also preferred, coupled with your desire to be challenged and broaden your legal acumen. A superior communicator, you will gain exposure to most, if not all, areas of the law as work with attorneys and internal teams in multiple locations on a variety of challenging legal issues. Excellent interpersonal and communication skills and sound business sense, coupled with proactive, hands-on approach, will lead you to advancement.
1655 Grant Street,
Concord, CA 94520