Associate Counsel, Wealth Management
Job Description
Associate Counsel, Wealth Management
Our client in Dallas, Texas is seeking an Associate Counsel for their Wealth Management division. This is a direct-hire, in-office position.
Client Profile
Rapidly growing financial services organization with a significant wealth management platform supporting more than $50 billion in assets under management and advisement. The organization offers attorneys the opportunity to work closely with experienced legal, executive, regulatory and compliance leadership while developing their careers within an expanding business.
Associate Counsel, Wealth Management Role
• Serve as a transactional and commercial legal resource supporting a rapidly growing wealth management business
• Review, draft and negotiate commercial agreements and other transactional documents
• Support legal matters involving financial advisors, clients, advisor transitions and client transitions
• Assist with strategic, corporate and regulatory initiatives across the wealth management organization
• Partner closely with legal, executive, compliance and regulatory teams
• Provide practical legal guidance regarding commercial transactions, regulatory considerations and business initiatives
• Assist with legal and regulatory matters involving both registered investment advisory and broker dealer operations
• Work collaboratively with compliance and regulatory teams to support internal processes involving transactions, compliance and risk management
• Assist with arbitration, litigation and complaint matters involving the wealth management business
• Coordinate with and manage outside counsel as appropriate
• Assist with management of legal expenses
• Support E&O insurance matters for the organization and its financial advisors
• Develop relationships with stakeholders throughout the organization and provide responsive, solutions oriented legal counsel
Required Skills / Experience
• Approximately 3 to 5 years of relevant legal experience; exceptionally strong candidates with approximately 2 years of experience may also be considered
• Transactional legal experience within wealth management, asset management, financial services or a related commercial environment
• Financial services industry experience required
• Familiarity with the Investment Advisers Act of 1940, Securities Act of 1933, Investment Company Act of 1940, FINRA rules and state securities laws
• Strong commercial drafting and contract negotiation skills
• Strong critical thinking and problem solving capabilities
• Ability to understand business objectives and provide practical legal guidance
• Strong written and verbal communication skills
• Proactive approach with the confidence to provide legal advice and direction to business stakeholders
• Intellectual curiosity and interest in building a long term career within the independent wealth management industry
• Comfortable working within a fast growing environment where priorities and legal issues may evolve quickly
• Collaborative, service oriented approach and willingness to work within a team focused environment
Preferred Skills / Experience
• Experience with an independent RIA, broker dealer or law firm representing financial services clients strongly preferred
Features and Benefits
• 15% annual bonus opportunity
• One time grant of 25,000 Class B units
• 15 days PTO during the first year with increases based on tenure
• Two additional paid community service days
• Paid holidays, including employee birthday
• 401(k) with company match and immediate vesting
• Medical insurance with company paying 80% of premiums
• Dental and vision insurance
• Health Savings Account and Flexible Spending Account options
• Company paid life insurance
• Company paid short term and long term disability coverage
• Paid parental leave
• Employee Assistance Program
• Relocation assistance available
• Significant professional development and mentorship opportunity
• Career advancement opportunities within a growing legal organization
Job Requirements
Additional Information
Frontline Source Group is an Equal Opportunity Employer. Candidates must be authorized to work in the United States without sponsorship. The client cannot sponsor any visas.
Disclaimer: Sensitive and personal data will not be requested by Frontline Source Group or its affiliates until a job offer is made and accepted. If you ever doubt the validity of our job postings, we encourage you to call one of our branch locations to verify the status on any job.
Meet Your Recruiter
Cassidy Jacobs
Cassidy Jacobs holds a Bachelors degree focused in International Development from University of North Texas. She is a strategic and results-driven Business Development professional with expertise in the Talent Acquisition industry.
Cassidy is focused on building lasting relationships with clients by supporting them in their need to find top talent in a tight market.
Her five plus years as a Member of DallasHR, two of which were served on the Board of Directors, has provided Cassidy with the education and knowledge to have a better understanding of what clients face daily and the challenges of corporate HR Teams today.
Connect with her today to start your search to hire top professionals for your company