Estate & Tax Planning Attorney in Arlington, VA

In-House

Arlington, VA

Estate & Tax Planning Attorney in Arlington, VA

Attorney

5-7 yrs required

No

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

Job Responsibilities:
The Vice President, Assistant General Counsel is responsible for providing strategic legal advice to various business units within the company, focusing on retail investor agreements and conflict disclosures, primarily supporting the advisory business but also the broker-dealer and custodial businesses. Key responsibilities include:
- Counseling wealth management business teams through all stages of new initiative development, including 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 company's financial services business, offering legal analysis and advice on compliance with applicable rules, regulations, and legal risks related to the investment advisory business, as well as 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 members of the Legal team, as well as key business units, Operations, Supervision, Compliance, and Risk.
- Supporting efforts to consistently review and improve policies and processes to enhance efficiency and repeatability.

Education and Experience Information:
- Candidates must 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 agreements for retail investors to open accounts in various brokerage and advisory programs and/or experience with connecting brokerage relationships with wrap programs is highly beneficial.
- Strong understanding of the regulatory landscape applicable to registered investment advisers and broker-dealers.
- Proficiency in legal writing, contract drafting, and written communication skills.
- Proficiency with MS Word, Excel, PowerPoint, and Outlook.
- Candidates should possess excellent verbal and written communication skills, strategic thinking, analytical, project management, and time management abilities. Presentation skills are also important.

Salary Information:
The pay range for this position is $163,725 to $272,875 per year. The actual base salary varies based on factors such as relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, the company's Total Rewards package is highly competitive, designed to support success at work, home, and play, including 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview:
The company is a leader in the markets it serves, supporting 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, providing advisors and institution leaders with the freedom to choose business models, services, and technology resources that allow them to run thriving businesses. The company takes care of its advisors and institutions so they can take care of their clients.

Why Work at the Company:
- Innovative Environment: The company fosters creativity and growth, supported by a responsive leadership team.
- Limitless Career Potential: Careers at the company have no limits, only amazing potential.
- Unified Mission: The company is one team on one mission—taking care of advisors so they can take care of their clients.
- Impactful Work: The company's size allows employees to make a real impact.
- Commitment to Equality: The company supports workplace equality and embraces diverse perspectives and backgrounds.
- Community Focus: The company cares for communities and encourages employees to do the same.
- Benefits and Total Rewards: The Total Rewards package includes a mix of traditional and unique benefits, perks, and resources to enhance life both at work and home.

Application and Interview Information:
The company will only communicate with job applicants directly from an official company email address and will never conduct interviews online or in a chatroom forum. The company will not request any form of payment from applicants or information regarding their bank or credit card during the interview process. For questions regarding the application process, applicants can contact the company's Human Resources Solutions Center.