Senior Vice President, Legal Counsel

Senior Vice President, Legal Counsel

About the Company

A growing financial services company offering structured investments and annuities.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking an SVP, Legal Counsel to join their team. This senior, hands-on role is pivotal in providing legal advice on the structuring, offering, and distribution of financial products within the securities regulatory framework. The successful candidate will be a key legal partner to business leadership, offering practical and business-oriented counsel on complex issues related to structured investments, annuities, and securities laws and regulations, including FINRA rules and the Securities Act of 1933 and Securities Exchange Act of 1934. Responsibilities include advising on the full lifecycle of financial products, ensuring compliance with regulatory requirements, and supporting the legal review of various materials. The role also involves drafting and negotiating commercial and distribution-related agreements, as well as assisting with regulatory inquiries and exams. Applicants for this role at the company should have a J.D. from an ABA-accredited law school, with a minimum of 8 years' of relevant legal experience, particularly in the area of financial services and financial products. A strong working knowledge of the Securities Act of 1933, the Securities Exchange Act of 1934, and FINRA rules is essential. The ideal candidate will have a background in advising on structured investments and/or annuities, and experience with broker-dealer and/or RIA models is a plus. The role requires the ability to build scalable legal processes and a collaborative, business-partnering approach. The company values a candidate who can shape legal strategy and build durable processes as the business scales, and who is adept at working in a fast-moving environment.

Travel Percent
Less than 10%

Functions

• Legal