Senior Attorney, Asset Management Legal
- for any list of duties/requirements/benefits. So we can turn each bullet list into
- . The paragraphs can be
. We need headings: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We only include those with content. Pay and Schedule not mentioned, so omit. Benefits we have. Skills we have (Attributes We Value). Qualifications we have (What We Need From You). Requirements maybe same as Qualifications? Could treat Requirements as mandatory qualifications, Qualifications as preferred? But we have both "What We Need From You" (mandatory) and "What We Would Like From You" (preferred). Could map Requirements to mandatory, Qualifications to preferred. Or combine. But we need to follow instruction: use headings for those sections if content exists. We'll include About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits. Now craft HTML. First, About the role: combine first paragraphs describing SEI seeking Senior Attorney, role description. We'll put as
. Responsibilities: content under "What You Will Do". That's a long list. We'll turn each bullet into
- . The text includes multiple sentences; we can split by sentences starting with capital letters after line breaks? The original has sentences separated by periods. We'll create list items for each distinct duty. Could group but better to keep each sentence as li. Let's extract duties: - Advise Wealth Management and Advisory Businesses - Provide legal and regulatory advice regarding investment advisory programs, managed account platforms, discretionary and non-discretionary advisory services, model delivery programs, goals-based advice, OCIO services, investment strategies, and customizable wealth management solutions. - Advise registered investment adviser entities and business teams on matters arising under the Investment Advisers Act of 1940 and related regulatory requirements, including fiduciary obligations, conflicts of interest, disclosures, advertising, client communications, and compliance program considerations, with appropriate guidance and escalation on novel or highly complex issues. - Support intermediary, high-net-worth, retirement, institutional, and retail advisory offerings, including matters involving individual retirement accounts and other qualified account structures. - Advise on legal and regulatory considerations involving investment models, proprietary strategies, outsourced investment solutions, model portfolios, UMA and SMA frameworks, tax-managed strategies, ETFs, mutual funds, alternatives access, and related solution components. - Advise on conflicts of interest, compensation arrangements, revenue and fee structures, disclosures, fiduciary considerations, and regulatory positioning associated with the use of proprietary and third-party investment products within advisory and wealth management solutions. - Support Advisory Platforms, Distribution, and Related Legal Coordination - Provide day-to-day and strategic legal support for platforms and programs that support the development, delivery, disclosure, and distribution of investment solutions through fee-based channels, including SEI proprietary distribution channels and channels supporting third-party wealth management firms. - Serve as a practical legal partner to solutions, sales, distribution, service, investment management, and related business teams, while coordinating with senior attorneys and other legal teams on matters requiring broader judgment, cross-functional alignment, or escalation. - Support strategic distribution arrangements and relationships involving financial advisers, registered investment advisers, broker-dealer-affiliated advisory programs, intermediary platforms, bank and wealth management firms, custodians, institutional and private wealth channels, and other business partners. - Coordinate with SEI's Technology and Operations Legal team and other legal colleagues on legal issues involving account administration, trading support, client servicing, platform operations, and related operational functions supporting SEI's advisory and wealth management businesses. - Partner closely with SEI's Technology and Operations Legal team and other legal colleagues on platform enhancements, digital initiatives, automation efforts, vendor relationships, and business transformation initiatives affecting retail investment channels. - Support Strategic Growth and Integration Initiatives - Provide legal support for strategic business initiatives, integrations, and platform expansion efforts, including support for Stratos, an SEI-affiliated wealth management platform serving independent financial advisors through flexible affiliation options, advisor-focused services, and access to investment, advisory, technology, custody, and platform capabilities, as Stratos advisors evaluate and use SEI solutions within their client service models. - Collaborate with business leaders to evaluate new products, services, solution components, operating models, partnerships, distribution channels, and growth opportunities. - Assist with the development and implementation of scalable governance frameworks and operating models that promote regulatory compliance, operational effectiveness, and responsible business growth. - Work closely with attorneys across SEI's Asset Management, Technology and Operations, Corporate Development, Regulatory, Privacy, and other legal teams on complex cross-functional matters. - Manage Commercial, Regulatory, and Governance Matters - Draft, review, negotiate, and interpret advisory agreements, client agreements, platform agreements, strategic partnership agreements, vendor contracts, distribution arrangements, and other legal documentation supporting SEI's advisory and wealth management businesses, with senior attorney support for novel, high-risk, or strategically significant matters. - Monitor and assess legal and regulatory developments affecting investment advisers, wealth managers, retirement programs, separately managed accounts, model delivery programs, and related investment services. - Support regulatory examinations, inquiries, audits, investigations, internal reviews, and remediation initiatives. - Provide legal support across the broader Asset Management group, including institutional investment management activities, proprietary investment products, and, as needed, private investment vehicles and other investment solutions. We'll put each as
- . Now Requirements: "What We Need From You" list: - Juris Doctor degree from an accredited U.S. law school and active license to practice law in at least one U.S. jurisdiction. - Four to six years of relevant legal experience at a law firm and/or as in-house counsel at a financial services organization. - Experience addressing legal and regulatory issues involving registered investment advisers, advisory businesses, distribution arrangements, wealth management services, or related platform support matters. - Demonstrated ability to analyze complex legal and regulatory issues, exercise independent judgment on matters within the role's discipline, and provide practical, business-focused guidance while recognizing when escalation or additional input is appropriate. - Excellent legal research, drafting, negotiation, communication, and stakeholder management skills. - Ability to balance effective business partnership with independent legal judgment and timely, constructive escalation of legal and regulatory issues. - Strong organizational skills and the ability to manage multiple priorities in a dynamic, evolving environment. - High degree of integrity, professionalism, discretion, and sound judgment. We'll put each as
- . Qualifications: "What We Would Like From You" list: - Experience supporting managed account programs, model portfolio platforms, UMA or SMA programs, strategies comprised of ETFs or mutual funds, tax-managed strategies, alternatives access, or broader wealth management solution sets. - Experience advising registered investment advisers serving retail, intermediary, high-net-worth, or institutional clients. - Familiarity with advisory platform integrations, operating model transformations, or strategic business initiatives involving wealth management firms. - Experience coordinating with legal, compliance, operations, technology, or business teams on advisory platform integrations, custody arrangements, investment program administration, or related platform support matters. - Experience working in-house at a financial services firm, wealth manager, asset manager, or in an investment management practice at a law firm. We'll put each as
- . Skills: "Attributes We Value" list: - Integrity and strong ethical standards - Sound judgment and accountability - Strong business acumen and strategic thinking - Practical, solution-oriented mindset - Intellectual curiosity and commitment to continuous learning - Collaboration and relationship building - Initiative and ownership - Clear communication and active listening - Adaptability and resilience - Professional maturity and self-awareness - Ability to thrive in a fast-paced, highly collaborative environment We'll put each as
- . Benefits: "SEI’s Competitive Advantage" paragraph includes list of benefits. We'll extract list items: - comprehensive care for your physical and mental well-being - a strong retirement plan - tuition reimbursement - support for working parents - flexible Paid Time Off (PTO) so you can relax, recharge and be there for the people you care about. - Benefits include healthcare (medical, dental, vision, prescription, wellness, EAP, FSA) - life and disability insurance (premiums paid for base coverage) - 401(k) match - education assistance - commuter benefits - up to 11 paid holidays/year - 21 days PTO/year pro-rated for new hires which increases over time - paid parental leave - back-up childcare arrangements - paid volunteer days - a discounted stock purchase plan - investment options - access to thriving employee networks and more. We'll put each as
- . Also there is a sentence: "We are a technology and asset management company delivering on our promise of building brave futures (SM)—for our clients, our communities, and ourselves. Come build your brave future at SEI." Could be included as
after list. Now construct HTML:
About the role
SEI is seeking a Senior Attorney to join its Asset Management Legal team and provide legal and regulatory support to SEI's U.S. wealth management, investment advisory, asset management, and distribution businesses. The Asset Management Legal team supports integrated investment, advisory, and wealth management solutions that combine SEI investment capabilities, advisor technology, custody and platform connectivity, distribution support, and related services, partnering closely with business, compliance, risk, technology, executive leadership, and other legal teams that advise on operational and platform support matters. The Senior Attorney will serve as a legal advisor to SEI businesses supporting the design, delivery, and distribution of investment solutions through fee-based advisory and wealth management channels. The role will support platforms and programs that enable SEI's proprietary distribution channels as well as channels serving third-party wealth management firms, with a focus on solution design, delivery, disclosure, distribution, platform integration, and the use of proprietary and third-party investment products as components of broader investment solution sets. Although the role's primary focus will be SEI's wealth management and advisory channels, the Senior Attorney will also support the broader Asset Management group, including institutional investment management activities and other strategic initiatives. The successful candidate will be a practical, business-oriented attorney who can analyze complex legal and regulatory issues, work independently on matters within the role's discipline, collaborate effectively with stakeholders, and escalate more complex or strategic matters appropriately. The Senior Attorney will be a member of SEI's Legal, Compliance & Corporate Development Department and will report to a Senior Director within the Asset Management Legal team.
Responsibilities
- Advise Wealth Management and Advisory Businesses
- Provide legal and regulatory advice regarding investment advisory programs, managed account platforms, discretionary and non-discretionary advisory services, model delivery programs, goals-based advice, OCIO services, investment strategies, and customizable wealth management solutions.
- Advise registered investment adviser entities
- . The paragraphs can be