State Licensed Associate General Counsel
Job Summary
Partnering with product and business teams, the full-time remote State Licensed Associate General Counsel will advise on the design, development, and implementation of innovative personal wealth products while navigating complex legal frameworks and ensuring compliance with regulatory standards.
Key responsibilities
- Serve as lead counsel for the Personal Wealth product organization, advising on product design and distribution
- Coordinate with cross-functional teams to ensure aligned legal, risk, and compliance solutions from concept through launch
- Monitor regulatory developments and provide practical guidance to stakeholders on legal obligations and best practices
Required qualifications
- J.D. and active bar membership
- 15+ years of experience in retail wealth management legal advisory roles
- Strong knowledge of SEC, FINRA, and state regulatory frameworks related to wealth management
- Experience with emerging wealth products and product strategy development
- Ability to communicate legal concepts clearly to senior stakeholders
Complete Job Description
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