Estate & Tax Planning Attorney in Boston, MA

In-House

Boston, MA

Estate & Tax Planning Attorney in Boston, MA

Attorney

5-7 yrs required

No

Job Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney

Job Responsibilities:
The VP AGC – Wealth Management Platforms, Programs & Advisory Attorney will play a pivotal role in the corporate legal advice team at the company. The position involves providing strategic legal advice, particularly focusing on retail investor agreements and conflict disclosures. The VP will support the advisory business and, to a lesser extent, the broker-dealer and custodial businesses. Key responsibilities include:

- Counseling wealth management business teams through all development stages of new initiatives. This includes creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related agreements and disclosures.
- Providing day-to-day legal support for the financial services business, ensuring compliance with applicable rules, regulations, and legal risks, primarily focusing on the investment advisory business while also supporting the broker-dealer and custodial businesses.
- Reviewing, revising, and developing internal policies and procedures in response to business initiatives and regulatory developments.
- Conducting legal research concerning compliance with applicable laws, rules, and regulations.
- Interacting with other legal team members and key business units such as Operations, Supervision, Compliance, and Risk.
- Supporting efforts to consistently review and improve policies and processes to enhance efficiency and repeatability.

Education and Experience Information:
The ideal candidate for this position should have:

- 5-7 years of experience dealing with issues arising under the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and SEC rules and regulations, as well as related federal and state securities laws.
- Prior experience drafting single or master agreements for retail investors to open accounts in various brokerage and advisory programs, and/or experience connecting brokerage relationships with wrap programs.
- A strong understanding of the regulatory landscape applicable to registered investment advisers and broker-dealers.
- Strong working knowledge of federal securities laws and the rule-making process, including regulatory notices, interpretive guidance, and agency interpretations.
- Proficiency in legal writing, contract drafting, and written communication skills.
- Familiarity with MS Word, Excel, PowerPoint, and Outlook.

Core Competencies:
The candidate must possess:

- The ability to interface effectively with internal personnel, advisors, clients, and their counsel.
- The capability to understand and assess a wide variety of complex business models.
- A driven self-starter mentality, excelling at working independently while engaging and coordinating effectively within a global program.
- Strong analytical and problem-solving skills, with the ability to provide viable solutions in a time-sensitive environment.
- Exceptional written and verbal communication skills, attention to detail, and effective time management.
- Sound judgment and the ability to appropriately escalate issues internally.
- The proven ability to handle highly confidential information professionally and with discretion.
- Exceptional interpersonal skills and a strong collaborative mindset.

Salary Information:
The pay range for the VP AGC – Wealth Management Platforms, Programs & Advisory Attorney position is between $163,725 and $272,875 per year. The actual base salary will vary based on factors including relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, the company offers a highly competitive Total Rewards package designed to support success at work, at home, and at play. This includes 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview:
The company is a leader in the financial services market, serving over 23,000 financial advisors, including those at approximately 1,000 institutions and around 580 registered investment advisor firms nationwide. The company is committed to the advisor-mediated model, ensuring that Americans have access to personalized financial guidance. Advisors and institution leaders enjoy the freedom to choose business models, services, and technology resources to run a thriving business and manage client relationships effectively.

Join the Team:
The company offers an innovative environment, limitless career potential, and a unified mission to care for advisors and their clients. The organization is committed to workplace equality, community focus, and providing a comprehensive Total Rewards package.

Interview Information:
The company will communicate directly with job applicants via an official email address and will not conduct interviews online or in chatroom forums. During an interview, no payment or bank/credit card information will be requested. For questions regarding the application process, applicants are encouraged to contact the Human Resources Solutions Center.