Associate Director, Legal (Corporate Counsel)

Job Summary The Associate Director of Legal plays a critical role in supporting a fast-growing financial services organization by delivering practical, business-focused legal guidance across a wide range of initiatives. Reporting to Legal and Risk Leadership, this individual partners closely with internal stakeholders to manage complex legal matters, including contract drafting and negotiation, regulatory analysis, and advisory support tied to strategic business activities such as M&A, vendor oversight, and risk mitigation. This role is ideal for a proactive attorney who thrives in a dynamic environment and is energized by balancing day-to-day legal needs with longer-term strategic priorities. Key Deliverables and Responsibilities Provide research and analysis with respect to issues or problems assigned by department management. Review and draft contracts applicable to the Company’s business. Perform in-depth research, analysis, and monitoring of federal and state laws, rules and regulations within both the securities and the investment advisory area, and assist in ensuring operations are working within the scope of said laws, rules and regulations. Accurately communicate questions and concerns from financial professionals to senior management and appropriate home office personnel, assisting with any matter presented for consideration. Coordinate with senior management and the Compliance department on arbitration and mediation issues. Interface within the company in a professional and courteous manner to achieve the Company’s common goals and ensure communication of those goals and statuses to all necessary parties. What We Are Looking For A collaborative and business-minded attorney with strong analytical skills, sound judgment, and a solutions-oriented approach to legal challenges. Comfortable navigating ambiguity, managing competing priorities, and translating complex regulatory requirements into actionable guidance for non-legal partners. Experience in financial services, securities law, or a similarly regulated environment, with adept agreement drafting, regulatory research, and cross-functional collaboration. A curious, adaptable, and motivated individual who views law as a strategic enabler rather than a gatekeeper. Excellent communication skills, the ability to build trusted relationships, and a strong sense of ownership and teamwork. Certifications License in good standing with the Iowa Bar. Juris Doctorate from an ABA Accredited Law School. FINRA Series 7 and Series 24 or 66 required within 18 months of hire. Salary Range $90,000 - $110,000. The salary range provided is a good faith estimate based on the ideal candidate’s qualifications, the company’s operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location. Benefits Paid time off, paid holidays, floating holidays, medical, dental, and vision coverage, short- and long-term disability, company-paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support work‑life balance. Work Environments This role offers a hybrid schedule, requiring three days weekly in the office. Applicants must be located near one of our hubs (Fairfield, IA or Phoenix, AZ) and be willing to work this schedule. #J-18808-Ljbffr