Job Title: Senior Legal Counsel
Job Responsibilities:
The Senior Legal Counsel is responsible for reviewing advertising materials to ensure compliance with applicable laws and brand requirements. This includes providing legal advice on content and advising on disclosure requirements and guidelines, particularly focusing on digital and internet communications such as websites, email, and social media posts. The role involves facilitating compliance with broker-dealer and investment advisor marketing materials, as well as addressing field requests for advertising, speaking engagements, and Cash/Non-Cash compensation. This requires ensuring adherence to regulations including those set by the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and State Securities and Insurance laws.
Staying current with all relevant areas of law is crucial to providing accurate advice to business units. The Senior Legal Counsel must be proactive in learning and sharing this information to help the company remain current and plan for future success. This includes following, reviewing, and comprehending legislation and regulation. A self-starter attitude and creativity in using available tools and resources are necessary to stay informed and add high value to the company.
The role involves ensuring that the company and all business units understand their requirements not only with laws and regulations but also with internal policies and procedures. The Senior Legal Counsel guides and explains these requirements to the business units, providing high-value support. Understanding the nuances of the company's business and operations is a continuous responsibility due to the dynamic nature of the business and the regulatory environment. Ongoing research and evaluation of legal risks are crucial to providing proper advice and guidance to the business, which must be communicated in clear and easy-to-understand language.
Education and Experience Information:
The candidate must possess a Juris Doctorate Degree in Law, be a graduate of a recognized Law School, and be a member in good standing with a relevant law society or bar. Additionally, the candidate must be a current member in good standing of any state bar. The position requires 2-5 years of proven experience as a Legal Counsel in a business environment. The candidate should have excellent knowledge and understanding of corporate law and procedures, demonstrated ability to create legal defensive or proactive strategies, a high degree of professional ethics and integrity, sound judgment, and the ability to analyze situations and information. Outstanding communication skills and a self-starter attitude are essential. An understanding and familiarity with laws and regulations applicable to the construction and delivery of financial services products and services, as well as principles of fair treatment of customers and privacy, are important. The candidate must have FINRA Series SIE, 6, 26, and 63 licenses or obtain them within 120 days of hire.
Salary Information:
The estimated salary range for this role is $110,000 - $115,000, depending on experience.
Benefits:
The position includes day one health, dental, and vision insurance, a 401(k) Plan with competitive employer match, and vacation, sick, holiday, and volunteer time off. Additional benefits include life and disability insurance, Flexible Spending Account & Health Savings Account, professional development opportunities, tuition reimbursement, and company-sponsored social and philanthropy events.
Equal Opportunity Employer Statement:
Company and its subsidiaries are committed to being an Equal Opportunity Employer. They provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state, or local laws.
Diversity and Inclusion Statement:
Company believes that diversity and inclusion are critical to their future and mission, creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through various programs and initiatives, they invest in each employee, ensuring that individuals are respected and truly valued for their unique perspectives.
