Description:
If you are looking for a home where your work is appreciated, where clients come first and where you have a level of personalized support that allows you to thrive, you'll find it – and more – at Retirement Plan ConsultantsPosition Summary:
Are you a dynamic self-starter who thrives in growth-minded environments? Are you client-focused and excited about helping build out a team and lay the foundation for new lines of business? Do you have 5 – 9 years of legal experience in financial services or the ability to come up to speed quickly in new areas of law and new industries? If so, you may be a great fit to join Retirement Plan Consultants. We are seeking a junior to mid-level attorney to join the growing Legal department. As Counsel, you will work closely with key internal stakeholders to support business initiatives and provide practical solutions. You should thrive in a collaborative environment while also taking initiative to improve upon legal and business operations. Strong analytical skills and the ability to come up to speed quickly on novel issues are key to success in this role. The Counsel will report directly to the Chief Legal Officer and work closely with the Chief Compliance Officer, Senior Management and other cross-functional leaders. This role will be responsible for providing a broad range of advice and counsel relating to retirement plan consulting, wealth management, financial planning, and related services with a focus on regulatory and privacy matters. The Counsel will be responsible for monitoring and updating Senior Management and the Executive Team on emerging federal and state laws and provide support to the Compliance Department relating to regulatory filings and key policies.
Essential Job Duties:
- cross-functional business teams with legal advice and counsel in the areas of SEC/FINRA laws and regulations, data privacy, marketing, ERISA, and other federal and state securities laws.
- as lead commercial counsel on the review and negotiation of key enterprise agreements such as institutional agreements and third-party vendor agreements (including sub-advisory, SaaS, investment management, CIT/mutual fund agreements, etc.).
- on development and maintenance of internal policies and procedures for handling client data, managing consents, and addressing data breaches.
- with business acquisitions such as participating in due diligence calls and review, advising on integration efforts, and providing support to the corporate development team as needed.
- needed legal research to support company compliance and the delivery of advice on pertinent legal matters.
- strong relationships across the company to foster an environment where the legal department is consulted early and often, providing a solid foundation for every decision made in the business.
Skills & Abilities:
Education:
- Juris Doctor (JD) degree from an accredited law school.
Experience And Qualifications:
- 5-9 years of legal experience, preferably gained both at a top-tier law firm and as in-house counsel within the financial services industry.
- command of laws and regulations relating to ERISA 3(38) and 3(21) services, Investment Advisers Act of 1940 (Advisers Act), DOL Fiduciary Rule, FINRA rules and regulations, ERISA/IRC, privacy (GLBA, Reg S-P, CCPA), and other applicable federal and state securities laws.
- drafting, reviewing, and updating regulatory filings and required policies such as Form CRS, Form ADV (Part 1 and Part 2), privacy policy, and GLBA notices.
- creating and maintaining outside counsel budgets.
- writing skills with highest attention to detail.
- interpersonal and communication skills with a focus on collaboration and creating practical solutions.
- success working in high-growth companies and ability to work efficiently without need for extensive oversight and administrative support.
- This is a full-time position and primarily a hybrid working role working out of Retirement Plan Consultants's main office in either Newport Beach, California or Dallas, Texas*
