Assistant General Counsel

Job Description

Job Summary

About NewEdge Capital Group:

NewEdge Capital Group (“NECG”) is a national wealth management platform, which services approximately $120 billion in total client assets along multiple business lines and supports over 475 financial advisors. NECG operates through two affiliated RIAs — NewEdge Wealth, LLC, which serves ultra-high-net-worth, family office, and institutional clients, and NewEdge Advisors, LLC, which supports independent and growth-oriented advisor teams — alongside their affiliated broker-dealer, NewEdge Securities, LLC. NECG provides the technology, compliance infrastructure, and operating platform that let advisors serve clients and grow, and it is one of the fastest-growing platforms in the wealth management space.

The Role

NECG is hiring an Assistant General Counsel to serve as the right hand to the General Counsel, especially across litigation, arbitration, and regulatory-exam matters. Alongside outside counsel as needed, the AGC will manage an active caseload of litigation, arbitrations, mediations, pre-litigation disputes, and subpoena responses, and (in conjunction with compliance) serve as a primary point of contact for regulatory examinations across NECG and its subsidiaries. A background in financial services or another regulated industry is strongly preferred, and candidates should be comfortable getting up to speed on the specifics of NECG's environment.

The right candidate has genuine litigation and dispute resolution acumen, is comfortable owning a matter end to end, and can step in for the General Counsel when needed. Some domestic travel is required on an occasional basis, usually with advance notice.

Responsibilities

Litigation, Arbitration & Dispute Resolution

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• Manage NECG’s caseload of litigation, arbitrations, and mediations from intake through resolution, including case strategy, budget, and coordination with outside counsel and insurance broker and carriers.
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• Handle pre-litigation disputes, assessing exposure early and driving matters toward efficient resolution.
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• Review pleadings, statements of claim/answer, briefs, motions, discovery requests and responses, and settlement documentation, working with outside counsel as needed.
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• Prepare witnesses and coordinate case logistics for arbitrations, mediations, and hearings, including travel to attend as needed.
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• Evaluate and manage litigation and arbitration reserves in partnership with the finance team and the insurance broker and carriers.
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Regulatory Exams & Inquiries

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• Serve as lead legal contact for regulatory examinations across NECG and its subsidiaries.
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• Partner with Compliance to prepare exam responses, coordinate document production, and prepare witnesses for any regulatory interviews.
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• Track any exam findings and deficiency letters through remediation, working with business and Compliance stakeholders.
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• Stay current on relevant laws and regulations and advise Compliance and the business accordingly.
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Legal Department Leadership

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• Act as the General Counsel’s right hand across the litigation and regulatory-exam function, including serving as a primary legal contact when the General Counsel is unavailable.
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• Supervise and mentor other in-house lawyers, paralegals, legal interns, and outside counsel engaged on litigation and regulatory matters.
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• Advise business, Compliance, and Risk stakeholders on litigation exposure and regulatory risk arising from new products, policies, and business practices.
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• Help build and refine internal processes and templates for litigation management, insurance coverage, subpoena response, and exam coordination as the platform scales.
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• Support broader legal department needs (transactional, contract, employment) as they arise.
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Skills & Qualifications

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• J.D. from an accredited law school and active bar membership in good standing (Pennsylvania preferred, with willingness to seek admission or work under supervision as needed).
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• 5+ years of litigation experience, law firm and in-house experience both welcome.
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• Financial services or other regulated industry background preferred (securities, SEC/FINRA, broker-dealer/RIA, or banking experience a plus, not required).
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• Comfortable owning a full caseload independently — strategy, discovery, insurance coordination, hearing prep — with limited oversight.
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• Experience responding to complex or contested subpoenas and third-party discovery demands.
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• Excellent legal writer and advocate with sound judgment, strong attention to detail, and the ability to explain risk clearly to non-lawyers.
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• Highly organized self-starter who thrives managing multiple active matters at once in a fast-paced, growing organization.
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• Low ego, high ownership; works well directly with a General Counsel, business leaders, and outside counsel alike.
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• Willing to travel occasionally, generally with advance notice.
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Who We Are:

NewEdge Capital Group provides best-in-class technology-enabled solutions and support services to financial advisors and their clients. Comprised of NewEdge Wealth, NewEdge Advisors, and NewEdge Securities, they have over $120 billion in client assets and support over 450+ financial advisors servicing several thousand households, family offices and institutions comprising more than 75,000 client accounts.

What We Offer:

Compensation includes a competitive base salary, with the opportunity to qualify for bonuses or commissions based on the position. NewEdge Capital Group offers a comprehensive benefits package to eligible employees, including health, dental, and vision insurance, short- and long-term disability coverage, life insurance, paid time off, paid parental leave, 401(k) match (subject to applicable waiting periods), and additional voluntary and supplemental benefits to elect based on your needs.

Applications will be accepted on an ongoing basis.