Senior Legal Counsel - Retail & Private Banking

About the role

The Senior Legal Counsel for Retail and Private Banking serves as a trusted legal advisor to a dynamic and growing broker-dealer and registered investment advisor business. This role provides strategic legal guidance that supports the delivery of investment products and services while helping the organization navigate complex regulatory requirements, manage legal risk, strengthen governance practices, and drive business objectives with confidence.

Responsibilities

• Provide legal counsel on investment products and services, including regulatory and contractual requirements, suitability standards, fiduciary obligations, disclosure requirements, legal risk mitigation, and product due diligence activities.
• Serve as the legal subject matter expert for broker-dealer and registered investment advisor matters, advising business leaders and stakeholders on legal, regulatory, and compliance considerations affecting strategies, programs, products, and operational practices.
• Advise on corporate governance matters, including governance processes, policies, board and committee practices, and the preparation of corporate resolutions, governance documentation, agendas, charters, and meeting minutes.
• Analyze legislative, regulatory, legal, and policy developments impacting the business and provide practical guidance, insights, and solutions to internal stakeholders.
• Conduct legal research on complex legal, regulatory, and industry-specific matters to support business initiatives and risk management decisions.
• Monitor emerging legal and regulatory developments within areas of expertise and prepare complex legal analyses, recommendations, and business-focused guidance.
• Partner with business, compliance, and leadership teams to identify, assess, and mitigate legal and regulatory risks associated with investments.

Requirements

• Juris Doctor (J.D.) degree from an accredited institution – Required.
• Expertise handling FINRA and SEC regulatory matters – Required.
• Extensive knowledge of broker-dealer and registered investment advisor regulatory frameworks.
• Strong legal research, analysis, drafting, negotiation, and counseling capabilities.
• Expertise in corporate governance principles, processes, and documentation.
• Proficiency with Microsoft Office applications, including Excel, PowerPoint, and Outlook.
• Ability to identify complex legal and business issues, evaluate risks, and develop practical solutions.
• Strategic thinking with the ability to develop legal approaches for complex and high-profile matters.
• Excellent verbal, written, presentation, and stakeholder communication skills.
• Ability to build and maintain effective relationships with senior executives, business leaders, and external partners.
• Strong coaching, collaboration, and team-oriented leadership capabilities.
• Demonstrated ability to handle highly confidential and sensitive information with discretion.
• Strong sense of urgency, sound judgment, and organizational effectiveness.

Qualifications

• Active license to practice law in one of the following states: FL, NY or MA – Required.

Skills

• Extensive knowledge of broker-dealer and registered investment advisor regulatory frameworks.
• Strong legal research, analysis, drafting, negotiation, and counseling capabilities.
• Expertise in corporate governance principles, processes, and documentation.
• Proficiency with Microsoft Office applications, including Excel, PowerPoint, and Outlook.
• Ability to identify complex legal and business issues, evaluate risks, and develop practical solutions.
• Strategic thinking with the ability to develop legal approaches for complex and high-profile matters.
• Excellent verbal, written, presentation, and stakeholder communication skills.
• Ability to build and maintain effective relationships with senior executives, business leaders, and external partners.
• Strong coaching, collaboration, and team-oriented leadership capabilities.
• Demonstrated ability to handle highly confidential and sensitive information with discretion.
• Strong sense of urgency, sound judgment, and organizational effectiveness.