Associate Director, Legal (Corporate Counsel)
About The Position
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. With the firm experiencing significant growth in both revenue and regulatory complexity, the Associate Director of Legal will help scale the legal function, protect the organization, and enable continued expansion.
Requirements
- License in good standing with the Iowa Bar.
- Juris Doctorate from an ABA Accredited Law School
- Financial Industry Regulatory Authority (FINRA) Series 7 and Series 24 or 66 required within 18 months of hire.
Nice To Haves
- Collaborative and business-minded attorney
- Strong analytical skills
- Sound judgment
- Solutions-oriented approach to legal challenges
- Comfortable navigating ambiguity
- Managing competing priorities
- Translating complex regulatory requirements into actionable guidance for non-legal partners
- Experience in financial services, securities law, or a similarly regulated environment
- Adept at contract work, regulatory research, and cross-functional collaboration
- Curious, adaptable, and motivated to grow with an evolving organization
- Communicates with clarity and confidence
- Builds trusted relationships across the business
- Takes ownership of their work while contributing to a high-performing, team-oriented legal function
Responsibilities
- Provide research and analysis with respect to issues or problems assigned by department management
- Reviewing and drafting 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
Benefits
- paid time off
- paid holidays
- floating holidays
- medical coverage
- dental coverage
- vision coverage
- short-term disability
- long-term disability
- company-paid life insurance
- volunteer time off
- wellness incentives
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
