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.

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, such as oversight of a broker-dealer, advisers and sub-advisers, monitoring of fund disclosures and operations, and compliance with fiduciary duties
• Experience with the ERISA Regulations, and various private-sector employer-sponsored plans
• 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

• 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
• 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

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; if multiple people share the connection, a stronger speed is required.

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