Job Details

Vice President and Chief Legal Officer, Wealth Management

About the Company

A leading financial services firm specializing in retirement, investments, and insurance.

Industry
Financial Services

Type
Privately Held, Private Equity-backed

Founded
1991

Employees
5001-10,000

Categories

• Financial Services
• Consulting & Professional Services
• Banking
• Brokerage
• Insurance

Specialties

• Retirement
• Investments
• Insurance

Business Classifications

• B2B
• Enterprise

About the Role

We are on the lookout for a dynamic Vice President and Chief Legal Officer for Wealth Management. In this crucial role, you will serve as the primary legal advisor to our wealth management product and sales teams. You will provide essential guidance on an array of legal matters related to retirement products and services, playing a vital part in steering strategic initiatives, ensuring compliance with regulatory standards, and safeguarding the company's legal interests.

Your expertise will be invaluable throughout the product lifecycle—from conception to launch—as you assist in the development and enhancement of innovative products and features. The ideal candidate will possess a Bachelor's degree and a Juris Doctor degree from an accredited law school, alongside at least 10 years of experience in the retirement industry. You must have comprehensive knowledge of FINRA, SEC, DOL, and IRS regulations, combined with strong relationship management, communication, and presentation skills.

Additional responsibilities include drafting and negotiating commercial agreements, overseeing regulatory matters, and advising on compliance with federal and state laws. We seek a proactive, detail-oriented professional who can adeptly manage multiple priorities and meet deadlines.

Hiring Manager Title
Chief Legal and Corporate Development Officer

Travel Percent
Less than 10%

Functions

• Legal
• Finance