Senior Counsel
About the role
Cetera Financial Group, Inc. is based in El Segundo, California. This position offers an excellent opportunity for long-term professional growth and development of a sophisticated and rewarding legal practice supporting the retail investment advice profession.
Responsibilities
- You will provide strategic advice and legal counsel to Cetera’s business.
- You will provide actionable, proactive, practical, and sound legal advice to your business and compliance colleagues.
- Your Responsibilities Will Include:
- Research, prepare and deliver high-quality and timely legal advice to internal business partners and senior management.
- Draft and negotiate complex documents for bespoke arrangements with advisors, financial institutions and clients.
- Support corporate governance and finance activities.
- Participating as the Legal Department representative on Cetera project teams and governance committees as assigned.
- Draft and negotiate M&A transaction documents (collaborating with outside counsel when necessary) including asset purchase agreements, stock purchase agreements, transition services agreements, letters of intent, term sheets and associated ancillary documents.
- Work closely with treasury on financing documents including credit agreements, indentures and related documents.
- Develop and maintain current knowledge of regulatory developments.
Requirements
- JD with a strong academic background
- 5-10 years of experience at a law firm and/or in-house legal department
- Excellent oral and written communication, analytical, research, and strategic thinking skills to effectively communicate issues and recommendations at all levels of the Company
- Familiarity with, or the desire to learn, the laws, regulations, and business operations of a retail broker-dealer and investment adviser
- Ability to work independently and accept a high degree of accountability
- Ability to analyze complex matters while providing simple, actionable advice
- Team and service orientation
- Strong legal research skills
- Strong work ethic
- Sound judgment and problem-solving skills
- Strong organizational and time-management skills
- Admission to the California or New York bar, or registration as or ability to register as in-house counsel in California or New York
Qualifications
- JD with a strong academic background
- 5-10 years of experience at a law firm and/or in-house legal department
- Excellent oral and written communication, analytical, research, and strategic thinking skills to effectively communicate issues and recommendations at all levels of the Company
- Familiarity with, or the desire to learn, the laws, regulations, and business operations of a retail broker-dealer and investment adviser
- Ability to work independently and accept a high degree of accountability
- Ability to analyze complex matters while providing simple, actionable advice
- Team and service orientation
- Strong legal research skills
- Strong work ethic
- Sound judgment and problem-solving skills
- Strong organizational and time-management skills
- Admission to the California or New York bar, or registration as or ability to register as in-house counsel in California or New York
Skills
- Strategic advice and legal counsel
- Proactive, practical, and sound legal advice
- Legal research and drafting
- Corporate governance and finance activities
- M&A transaction documents
- Financing documents
- Regulatory developments
Benefits
We offer competitive compensation packages and associated benefits. Our health program offers a comprehensive benefits package that supports healthy lifestyles and preventative care, and helps to protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. Paid parental leave to support all team members with birth, adoption, and foster. Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Pay
The base annual salary range for this role is $170,000 - $190,000K, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
Schedule
This position reports to the Corporate Deputy General Counsel and is located in New York City or El Segundo, California.