Associate General Counsel

OverviewExecutive Recruiter at JW Michaels & Co. Highly regarded wealth management firm is seeking an Associate General Counsel to join their growing team.Position Overview: The Associate General Counsel will assist in providing legal expertise across the wealth management business. This role requires knowledge of diverse legal disciplines applicable to RIAs and broker-dealers, including corporate law, regulatory compliance, litigation management, employment law, real estate law, and vendor contracting and management, among others.ResponsibilitiesLead and execute complex M&A transactions, including structuring deals, managing due diligence, negotiating transaction documents, and overseeing post-closing integration mattersDirect and manage significant commercial contracts and strategic partnershipsProvide legal guidance and support on corporate governance matters, including entity formation, corporate structuring, and regulatory complianceOversee and manage litigation, arbitration, and dispute resolution processesEnsure compliance with federal, state, and local laws and regulationsDevelop and implement legal policies and procedures to support business objectives while managing riskPartner with business units to provide practical, solutions-oriented legal guidance on daily and strategic initiativesSupport the General Counsel in developing and executing legal department strategy and initiativesAssist in the preparation of legal documents, policies, and proceduresStay abreast of industry developments and regulatory changes affecting the wealth management industry, and advise stakeholders accordinglyQualificationsJD from an accredited law school and active membership with a state barAt least 10 years of experience at wealth management firms, with substantial exposure to a wide range of mattersExtensive experience leading advisor recruiting matters and M&A transactionsExcellent drafting, negotiation, and communication skillsStrong knowledge of securities regulations applicable to registered investment advisers and/or broker-dealers, including the Investment Advisers Act, FINRA, ERISA and applicable laws and regulationsStrong understanding of the wealth management industry trends, challenges and regulatory landscapeStrong experience with corporate governance mattersProven track record of managing litigation in the wealth management space, including customer and employee mattersAbility to balance legal risk with business objectivesStrong organizational and time-management skillsHigh ethical standards and integrityCollegiality and an ability to work collaboratively with cross-functional teamsA growth mindset and desire to learn new areasReports To: General CounselLocation: hybrid and remote optionsIdeally in EST or CT #J-18808-Ljbffr

Created: 2025-09-25