Senior Associate General Counsel

Position Summary

The Senior Associate General Counsel will support multiple business lines within Ascensus, with primary focus on retirement plans. Key job 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. In addition to demonstrating sound legal and business judgment, the candidate must also demonstrate experience in handling enforcement matters and dispute resolution for firms and individual investors. This is a full-time, exempt position.

Job Functions, Essential Duties and Responsibilities

• Strong working knowledge of the Investment Advisers Act of 1940, including Advisor Rules, operations and investment compliance and legal risk management
• Experience with complex financial instruments and strategies, including mutual funds and all areas of their responsibilities, including oversight of a broker-dealer, advisers and sub-advisers, monitoring of fund disclosures and operations, and compliance with fiduciary duties
• Strong background in wealth management, fiduciary duties, and the ability to draft, negotiate, review, and interpret various contracts and other legal documents
• Stay up to date with industry regulations, standards, and best practices, including oversight of investment recommendations
• Handle day-to-day legal issues arising in a growing and complex business

Skills and Attributes

• 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 with minimal instruction, and as part of a team with the willingness and desire to collaborate
• Be organized, proactive and entrepreneurial, and
• Multitask and prioritize while producing high-quality, on-time work

Experience, Education and Base 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

Note

• For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router.

Other Rewards and Benefits

• 401(k) match
• Medical
• Dental
• Vision
• Paid-Time-Off
• etc.

Pay and Benefits

The national average salary range for this role is $140-205K in base pay, exclusive of any bonuses and benefits. This base salary range represents the low and high end of the salary range for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to case-by-case basis.

Equal Opportunity Employer

We are proud to be an Equal Opportunity Employer.