Lead General Counsel - Financial Services & M&A

Career Opportunities with The Forge Companies A great place to work. Careers At The Forge Companies Share with friends or Subscribe! Are you ready for new challenges and new opportunities? Join our team! Current job opportunities are posted here as they become available. Subscribe to our RSS feeds to receive instant updates as new positions become available. The Forge Companies is a diversified financial services organization providing industry-leading solutions through trust administration, investment advisory, settlement planning, insurance services, and back-office support. With a mission to improve the lives of our clients and their families, we value Excellence, Empathy, Selflessness, Respect, and Trust . Position Overview The Forge Companies General Counsel leads the legal and regulatory functions across our multi-entity organization, which includes two insurance agencies, an SEC Registered Investment Advisory firm, a Tennessee state-chartered Trust company, a plaintiff advance company, and a bookkeeping/payroll processing firm. This role is designed for an attorney who is as comfortable advising executives on strategic decisions as they are drafting agreements and managing day-to-day legal operations. The ideal candidate brings deep financial services regulatory knowledge, sound and practical judgment, and a collaborative approach to working across a complex, fast-moving organization. The right person thrives with ownership, operates efficiently across multiple priorities, and builds trust as a go-to resource for the business. What You’ll Do 1. Financial Services Regulatory Compliance Ensure compliance across insurance, investment advisory, trust company, litigation cash advances, and payroll/financial services regulatory frameworks. Ensure the organization maintains good standing across all licensing, registration, and filing requirements in applicable jurisdictions. Prepare and support regulatory filings related to licensing, control changes, and expansion into new markets, including responding to regulatory inquiries. Lead annual report filings and fiduciary reciprocity filings across multiple states. Oversee disclosures for websites, emails, marketing materials, and digital signatures. Advise on employment law matters relevant to a licensed, regulated workforce including advisor agreements, restrictive covenants, and regulatory requirements tied to hiring and onboarding in financial services. Provide guidance on federal and state employment law compliance including FLSA, FMLA, EEOC, and applicable state-specific requirements. 2. Corporate Legal Operations Draft, negotiate, and maintain a wide range of agreements including service agreements, leases, confidentiality agreements, commission-sharing agreements, solicitor agreements, sub-advisory agreements, and advisor contracts. Manage corporate governance, entity management, and maintenance of corporate records. Oversee intellectual property matters including trademark management. Manage outside counsel relationships strategically and cost-effectively, engaging external resources only when necessary. Manage litigation strategy and coordinate with outside counsel as needed. Collaborate with Director of Risk Management on BSA/AML processes, cybersecurity oversight, enterprise risk, and vendor due diligence. Partner with HR on complex employee relations matters involving legal exposure including sensitive investigations, disciplinary actions, terminations, and separation agreements. Manage legal inquiries and disputes involving outside parties, including responding to demand letters, third-party claims, and other external legal matters. Support the vendor management review process and negotiate SLAs with external providers. Translate complex legal and regulatory concepts into clear, actional guidance for business leaders across all levels of the organization. 3. M&A Support Coordinate internal legal workstreams for mergers, acquisitions, joint ventures, and strategic investments alongside external counsel. Support due diligence processes, review transaction documents, and ensure the company's interests are represented throughout deal timelines. Provide input on deal structure, risk assessment, and legal considerations during transaction planning. Support post-acquisition integration across operations, finance, HR, risk, and licensed entities. Why You’ll Love Working Here A high impact and visibility in-house role where your work directly shapes how the business operates. Direct partnership with executive leadership at a company experiencing rapid growth. Mission-driven culture rooted in trust, empathy, and service. Minimum Qualifications (Knowledge, Skills, and Abilities) Juris Doctor (JD) degree required; Active bar membership in at least one U.S. jurisdiction; Minimum of 7 years of relevant in-house or legal experience; Demonstrated experience in financial services regulatory compliance; Familiarity with M&A processes and transaction coordination in a support or advisory capacity; Ability to use Microsoft Office software including Word, Excel, PowerPoint, and Outlook #J-18808-Ljbffr