This legal Counsel role supports the growth of a retail investment advisory and broker-dealer division.
Based in Philadelphia, Pittsburgh, Birmingham, Cleveland, or Washington, D.C., the position involves providing legal advice on broker-dealer activities, new products, and regulatory compliance.
Key responsibilities include monitoring FINRA and SEC regulations, developing policies, interacting with senior management and external counsel, and managing legal risks.
Ideal candidates have 8+ years of experience in investment adviser and broker-dealer regulation, a J.D., and active licensing. Strong legal analysis, communication, and judgment skills are essential.
The role offers a competitive salary, comprehensive benefits, and opportunities for collaboration across related business lines, emphasizing an inclusive workplace culture.