Overview

Executive Recruiter at JW Michaels & Co. Highly regarded wealth management firm is seeking an Associate General Counsel to join their growing team.

Position Overview: The Associate General Counsel will assist in providing legal expertise across the wealth management business. This role requires knowledge of diverse legal disciplines applicable to RIAs and broker-dealers, including corporate law, regulatory compliance, litigation management, employment law, real estate law, and vendor contracting and management, among others.

Responsibilities

• Lead and execute complex M&A transactions, including structuring deals, managing due diligence, negotiating transaction documents, and overseeing post-closing integration matters
• Direct and manage significant commercial contracts and strategic partnerships
• Provide legal guidance and support on corporate governance matters, including entity formation, corporate structuring, and regulatory compliance
• Oversee and manage litigation, arbitration, and dispute resolution processes
• Ensure compliance with federal, state, and local laws and regulations
• Develop and implement legal policies and procedures to support business objectives while managing risk
• Partner with business units to provide practical, solutions-oriented legal guidance on daily and strategic initiatives
• Support the General Counsel in developing and executing legal department strategy and initiatives
• Assist in the preparation of legal documents, policies, and procedures
• Stay abreast of industry developments and regulatory changes affecting the wealth management industry, and advise stakeholders accordingly

Qualifications

• JD from an accredited law school and active membership with a state bar
• At least 10 years of experience at wealth management firms, with substantial exposure to a wide range of matters
• Extensive experience leading advisor recruiting matters and M&A transactions
• Excellent drafting, negotiation, and communication skills
• Strong knowledge of securities regulations applicable to registered investment advisers and/or broker-dealers, including the Investment Advisers Act, FINRA, ERISA and applicable laws and regulations
• Strong understanding of the wealth management industry trends, challenges and regulatory landscape
• Strong experience with corporate governance matters
• Proven track record of managing litigation in the wealth management space, including customer and employee matters
• Ability to balance legal risk with business objectives
• Strong organizational and time-management skills
• High ethical standards and integrity
• Collegiality and an ability to work collaboratively with cross-functional teams
• A growth mindset and desire to learn new areas

Reports To: General Counsel

Location: hybrid and remote options

Ideally in EST or CT