Senior Associate General Counsel
Ascensus is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a better today and tomorrow.
About the role
The Senior Associate General Counsel will support multiple business lines within Ascensus, with primary focus on retirement plans. Key responsibilities include acting as the primary legal counsel in the subject matter of asset management and federal securities laws, including advising on disclosure, regulatory, compliance, and enforcement matters under SEC rules and FINRA regulation. The candidate must demonstrate experience in handling enforcement matters and dispute resolution for firms and individual investors.
This is a full-time, exempt position. For all virtual remote positions, an uninterrupted virtual workspace is required, with family care in place during business hours. Internet speed must be 25 Mbps or better for individual use; stronger connections are required if multiple people share the same connection.
Responsibilities
- Provide legal counsel on asset management and federal securities laws, including SEC and FINRA compliance, disclosure, and enforcement matters
- Advise on the Investment Advisers Act of 1940, including Advisor Rules, operations, investment compliance, and legal risk management
- Handle complex financial instruments and strategies, including mutual funds, oversight of broker-dealers, advisers, sub-advisers, fund disclosures, and fiduciary duties
- Support ERISA regulations and various private-sector employer-sponsored plans
- Draft, negotiate, review, and interpret contracts and other legal documents related to wealth management and fiduciary duties
- Stay current with industry regulations, standards, and best practices, including oversight of investment recommendations
- Manage day-to-day legal issues in a growing and complex business environment
Skills
- Provide practical advice to business leaders
- Think and act strategically
- Communicate effectively
- Exhibit adaptability and lead change
- Think creatively, solve problems effectively, and act decisively
- Work effectively independently and as part of a collaborative team
- Be organized, proactive, and entrepreneurial
- Multitask and prioritize while producing high-quality, on-time work
Requirements
- Juris Doctorate from an accredited U.S. law school with at least 15 years of experience
- Licensed to practice law in at least one state and in good standing
- Law firm (preferably transactional practice) and in-house experience is a plus
- Desire to work in a fast-paced and demanding environment
Pay
The national average salary range for this role is $140,000–$205,000 in base pay, exclusive of any bonuses and benefits. Actual salary offered may vary based on factors including location, experience, performance, and internal pay alignment.
Benefits
- 401(k) match
- Medical, dental, and vision coverage
- Paid time off