Russell Tobin
Legal Counsel - Advisory Transformation
Russell Tobin, Minneapolis, Minnesota, United States, 55400
Legal Counsel - Advisory Transformation (Hybrid in Minneapolis, MN)
Employment Type:
W2 Contract (through December 31, 2026)
Pay Rate:
$91-$96/hour (depending on experience)
Location:
Minneapolis, MN (Hybrid schedule)
Schedule:
Approx. 25-30 hours per week
Russell Tobin is seeking an experienced
Legal Counsel (Advisory Transformation)
to support one of our top-tier
financial services clients
in their Advice and Wealth Management division. This long-term contract role offers the opportunity to make a significant impact by helping shape the future of the firm’s advisory offerings, product launches, and client transitions.
You’ll collaborate closely with business partners and senior leadership to ensure all advisory programs comply with federal securities laws, including the
Investment Advisers Act ,
Regulation Best Interest , and related SEC guidance.
Key Responsibilities
Collaborate with business teams to assess new initiatives and identify regulatory implications under the Advisers Act and SEC guidance.
Provide expert legal advice on federal securities laws impacting retail investment advice, including Regulation Best Interest and related client rules.
Develop and communicate clear legal requirements and guidance for new initiatives, ensuring stakeholders understand compliance expectations and timelines.
Draft and update client‑facing disclosures, agreements, and consent materials.
Negotiate and amend master advisory agreements with third‑party asset managers.
Support marketing and internal communications related to advisory product changes.
Review and revise policies, procedures, and operational documents to align with evolving regulatory standards.
Foster strong partnerships across business, compliance, and operations teams.
Qualifications Required:
Juris Doctor (JD) degree from an accredited institution.
Minimum
5 years of legal experience
focused on investment advisory or securities law.
In‑depth understanding of the
Investment Advisers Act
and related SEC regulations.
Proven experience drafting
Form ADV brochures , client agreements, and negotiating advisory contracts.
Preferred:
Strong research and analytical capabilities.
Excellent verbal and written communication skills.
Demonstrated ability to manage multiple priorities and deadlines in a fast‑paced environment.
Deep knowledge of financial products, wealth management services, and advisory compliance frameworks.
Why Join
Opportunity to contribute directly to the transformation of a major wealth management platform.
Hybrid flexibility with a collaborative and professional legal team.
Long‑term stability through 2026 with potential for extension or conversion.
Competitive compensation and comprehensive benefits through Russell Tobin.
Benefits
Eligible employee comprehensive healthcare coverage (medical, dental, and vision plans).
Supplemental coverage (accident insurance, critical illness insurance, and hospital indemnity).
401(k) retirement savings plan.
Life & disability insurance.
Employee assistance program.
Legal support.
Auto, home, and pet insurance.
Employee discounts with preferred vendors.
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W2 Contract (through December 31, 2026)
Pay Rate:
$91-$96/hour (depending on experience)
Location:
Minneapolis, MN (Hybrid schedule)
Schedule:
Approx. 25-30 hours per week
Russell Tobin is seeking an experienced
Legal Counsel (Advisory Transformation)
to support one of our top-tier
financial services clients
in their Advice and Wealth Management division. This long-term contract role offers the opportunity to make a significant impact by helping shape the future of the firm’s advisory offerings, product launches, and client transitions.
You’ll collaborate closely with business partners and senior leadership to ensure all advisory programs comply with federal securities laws, including the
Investment Advisers Act ,
Regulation Best Interest , and related SEC guidance.
Key Responsibilities
Collaborate with business teams to assess new initiatives and identify regulatory implications under the Advisers Act and SEC guidance.
Provide expert legal advice on federal securities laws impacting retail investment advice, including Regulation Best Interest and related client rules.
Develop and communicate clear legal requirements and guidance for new initiatives, ensuring stakeholders understand compliance expectations and timelines.
Draft and update client‑facing disclosures, agreements, and consent materials.
Negotiate and amend master advisory agreements with third‑party asset managers.
Support marketing and internal communications related to advisory product changes.
Review and revise policies, procedures, and operational documents to align with evolving regulatory standards.
Foster strong partnerships across business, compliance, and operations teams.
Qualifications Required:
Juris Doctor (JD) degree from an accredited institution.
Minimum
5 years of legal experience
focused on investment advisory or securities law.
In‑depth understanding of the
Investment Advisers Act
and related SEC regulations.
Proven experience drafting
Form ADV brochures , client agreements, and negotiating advisory contracts.
Preferred:
Strong research and analytical capabilities.
Excellent verbal and written communication skills.
Demonstrated ability to manage multiple priorities and deadlines in a fast‑paced environment.
Deep knowledge of financial products, wealth management services, and advisory compliance frameworks.
Why Join
Opportunity to contribute directly to the transformation of a major wealth management platform.
Hybrid flexibility with a collaborative and professional legal team.
Long‑term stability through 2026 with potential for extension or conversion.
Competitive compensation and comprehensive benefits through Russell Tobin.
Benefits
Eligible employee comprehensive healthcare coverage (medical, dental, and vision plans).
Supplemental coverage (accident insurance, critical illness insurance, and hospital indemnity).
401(k) retirement savings plan.
Life & disability insurance.
Employee assistance program.
Legal support.
Auto, home, and pet insurance.
Employee discounts with preferred vendors.
#J-18808-Ljbffr