JW Michaels & Co.
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
#J-18808-Ljbffr
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
#J-18808-Ljbffr