Vice President, Wealth Management Alternative Investments Attorney
Confidential
Vice President, Wealth Management Alternative Investments Attorney
About the Company
Profitable broker & financial advisory firm
Industry
Financial Services
Type
Public Company
Founded
1989
Employees
5001-10,000
Categories
- Financial Services
- Consulting & Professional Services
- Brokerage
- Finance
- Investment Banking
- San Diego
- Employee Advisor
- Financial Advisor
- Financial Professional
- LPL
- LPL Financial
- Linsco Advisor
- Linsco Private Ledger
- RIA
- Registered Investment Advisor
- Strategic Wealth Services
- Strategic Wealth Services Advisor
- Investing
- Financial Advisers
Specialties
- independent broker/dealer
- institution services
- ria
- independent advisors
- custom clearing services
- and financial services
Business Classifications
- B2B
About the Role
The Company is seeking a Vice President, Assistant General Counsel with a focus on alternative investments, complex products, and digital assets. The successful candidate will be responsible for providing strategic legal advice and day-to-day legal support for the company's alternative investments platform. This includes counseling on due diligence standards, sales practices, and controls, as well as drafting and revising agreements with alternative investment sponsors. The role also involves interacting with various internal teams, such as compliance, supervision, surveillance, product due diligence, onboarding, research, and risk management. The ideal candidate should have a strong background in federal, state, and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense, with a specific focus on the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules and regulations. Applicants for this role at the company should have a minimum of 6 years of experience in the financial services industry, particularly in the broker-dealer and retail investment advisory business. Proficiency in legal writing, research, and communication is essential, as is a working knowledge of federal securities laws and the regulatory landscape applicable to broker-dealers and registered investment advisers. The role requires the ability to manage a substantial docket autonomously, a strong understanding of alternative investments, and an interest or experience in artificial intelligence utilization. The candidate should be a highly motivated self-starter, with the ability to work both independently and as part of a team, and possess excellent analytical, problem-solving, and interpersonal skills.
Hiring Manager Title
Senior Vice President
Functions
- Legal
$168.61k - $281.09k
...seeks an experienced attorney to join its... ...legal advice team as Vice President, Assistant General Counsel... ...controls related to Alternative Investments, Complex Products and... ...Research; and (5) Risk Management. The position will... ...the fastest growing wealth management firms in...SuggestedFull timeWork from home$136.99k - $228.25k
...Overview:The VP, Institutional Leader (Wealth Advisors Group) will lead the Institutional... ...coaching and developing CIS sales managers and relationship managers, engaging Institutional... ...succession planning.Supervise sales, investment and relationship-deepening activities to...SuggestedFull timeWork from home- ...seventeen production facilities across North America and continually invest in our manufacturing capabilities to better serve our customers... ...a talented Treasurer. The Treasurer is responsible for managing the company's liquidity, banking relationships, debt obligations...SuggestedTemporary workWorldwide
MacLean Power Systems
Fort Mill, York County, SC2 days ago $135.96k - $226.6k
.... Job Overview: The Product Management team within LPL is responsible... ...a highly competitive set of investment solutions. The focus of this... ...with excellence. The Vice President, Product Management - Trading... ...is among the fastest growing wealth management firms in the U.S....SuggestedWork at officeWork from homeLPL Financial
Fort Mill, York County, SC2 days ago$168.61k - $281.09k
...Financial is seeking an attorney to support our... ...recordkeeping business. The role, Vice President, Assistant General... ...of a broker-dealer, investment advisor, custodian and... ...trusts, private funds, managed accounts and other... ...among the fastest growing wealth management firms in...SuggestedFull timeWork from homeLPL Financial
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- ...Vice President, Assistant General Counsel, Brokerage About... ...Finance Investment Banking San Diego... ...Advisor Strategic Wealth Services Strategic... ...role requires a seasoned attorney with 5-10 years of experience... ...and will be expected to manage a substantial docket autonomously...
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...seeking a strategic and collaborative leader with deep experience building and scaling investment operations within an institutional asset management, OCIO, investment consulting, or wealth management environment. The ideal candidate is a systems thinker who enjoys solving...Full timeWork from home$135k - $210k
...CURRENT US FOODS EMPLOYEE? PLEASE APPLY DIRECTLY THROUGH OUR INTERNAL WORKDAY CAREER SITEJoin Our Community of Food People!BASIC PURPOSE Manage all aspects of local sales to meet or exceed company goals for a Market’s sales and profitability. Build and develop local sales...Minimum wageFull timeTemporary workSeasonal workWork at officeLocal areaNight shift- ...Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory... ...Brokerage Finance Investment Banking San Diego... ...Investment Advisor Strategic Wealth Services Strategic Wealth... ...a team of experienced attorneys, managing a substantial legal docket,...
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...operationalize Kong AI Gateway capabilitiesBuild and manage custom Kong plugins for:Enable... ...: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader... ...wide range of advisor affiliation models, investment solutions, fintech tools and practice...Full timeWork from home$168.61k - $281.09k
...the direction of Senior Vice President, Associate General Counsel, the attorney in this position will... ...resources to effectively manage these issues; draft and... ...the fastest growing wealth management firms in the... ...advisor affiliation models, investment solutions, fintech...Work from homeLPL Financial LLC
Fort Mill, York County, SC4 days ago$135.96k - $226.6k
...non-custody platforms, data feeds, APIs, investment and retirement products, and the... ...initiatives.Beyond traditional product management, this role requires strong operational leadership... ...working within Capital Markets, Wealth Management, Brokerage, Custody, Retirement...Full timeWork from home$127.51k - $212.49k
....Job Overview:The IT Vendor Manager will serve as the primary relationship... ...technology vendors. This Vice President-level individual contributor... ...in financial services or wealth management... ...advisor affiliation models, investment solutions, fintech tools and...Full timeContract workWork from homeShift work- ...leaders, compliance, M&A, sales, procurement, and executive teams to manage legal risk, support growth initiatives, and ensure alignment... ...in at least one U.S. jurisdiction.7+ years experience as an attorney in a corporation, law firm or both with a proven track record in...For contractorsFixed term contractWorldwideVisa sponsorshipWork visaRelocation package
$168.61k - $281.09k
...Financial is seeking an attorney to support our... ...recordkeeping business. The role, Vice President, Assistant General... ...of a broker-dealer, investment advisor, custodian and... ...trusts, private funds, managed accounts and other... ...among the fastest growing wealth management firms in...Full timeWork from home$261.22k
...Overview Re:Build Manufacturing is seeking a Vice President of Programs to lead the transformation... ...outcomes. This is not simply program management in the classic sense of tracking,... ...and long-term customer strategy Make investment decisions on tooling, systems, and...Work at office$147.39k - $245.66k
LPL Financial is looking for a Vice President to lead the Technology Governance program within Cyber Security. The role requires over 8 years... ...including strategic oversight of the cyber program and risk management. Responsibilities include developing governance strategies,...$147.39k - $245.66k
Job Overview We are seeking a highly experienced Vice President to lead our Technology Governance program and team reporting within the Cyber... ..., Business Information Security Officers, Enterprise Risk Management, Internal Audit, and technology and cybersecurity subject...Shift work- ...automated production lines, certified to the ISO 9001:2015 Quality Management System standard, and just-in-time manufacturing to deliver Buy... ...to the North American market. We are committed to investing in our employees, providing a dynamic and supportive environment...Contract workWork at officeLocal areaWork from homeHome officeFlexible hours
Silfab Solar
Fort Mill, York County, SC27 days ago - Daimler Truck North America LLC seeks a Corporate Counsel – Labor & Employment to support labor strategy, contract negotiations, and CBA interpretation in North America’s leading commercial vehicle manufacturer. This role sits in the Legal Department as part of Labor, ...Contract work
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$145k - $225k
...Estate & Trust Administration Attorney Base pay range: $145,000.00/yr - $225,000.00/yr Responsibilities Oversee estate and trust administration... ...in estate and trust administration. Strong leadership, management, and organizational skills. Proficiency in Microsoft Word and...Full timeRelocation packageRussell Tobin
Fort Mill, York County, SC3 days ago- ...In-House Litigation Attorney – Epic Please note that this position is based on our campus in Madison, WI, and requires relocation to the... ...offerings in an exciting and rapidly changing industry. You'll manage litigation and regulatory matters, and have the opportunity to...RelocationRelocation package
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Rock Hill, SC1 day ago - ...Security leader for ServiceMac to translate security strategy into operational programs. You will drive risk-based controls, threat management, and incident response while aligning with enterprise standards and regulatory expectations. You will report to executive...
$261.22k
Re:Build Manufacturing is hiring a Vice President of Programs to transform a $100MM+ business. This leadership role demands expertise in... .... The ideal candidate possesses at least 10 years in general management and must have a Master's degree in management. Compensation ranges...- DXC Technology is seeking a Presentation & Graphic Designer Manager to lead executive-level storytelling across forums, events, and strategic initiatives. You will translate complex business content into clear, visually engaging narratives and create supporting assets like...
- ...A legal services firm in Rock Hill, SC, is seeking a Criminal Defense Associate Attorney to deliver exceptional legal services in criminal law. Responsibilities include managing cases, attending court, and collaborating with senior partners and staff. Ideal candidates...
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Rock Hill, SC2 days ago - ...Senior In-House Litigation Attorney Epic recruits nationally and is looking for a Senior In-House Litigation Attorney to join our legal... ...Relocation assistance will be provided. Key responsibilities: Manage complex litigation and counsel on regulatory, competition, healthcare...RelocationRelocation package
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Rock Hill, SC4 days ago - ...Job Description Job Description Full-Time Associate Attorney in Estate Planning, Probate, & Elder Law Job Brief: We are a... ...our practice. Previous experience in financial services, trust management, marketing, social media management, graphic design, or community...Full timeWork experience placementWork at officeLocal areaRelocation
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