Counsel – Equity Management

Wealth Enhancement Group

3d•$122,000 - $140,000•Remote

About The Position

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 80,000 households from our over 140 offices - and growing - nationwide. Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com. We’re growing our team by hiring a Counsel – Equity Management to play a critical role in supporting Wealth Enhancement Group’s (WEG’s) equity compensation strategy and securities law compliance framework. This position demands a highly skilled attorney to provide strategic advice and counsel related to equity plan design, implementation, administration, and regulatory compliance. The ideal candidate will have a strong background in securities law, capital markets, and equity compensation arrangements, preferably within a financial services or private company environment. This role will partner closely with Legal, Finance, HR, Payroll, and external counsel to ensure that WEG’s equity programs are structured, administered, and documented in a compliant and operationally effective manner. The role will play a central role in designing, deploying and overseeing the use of artificial intelligence tools in the equity administration space. This is a fully remote position. In the spirit of pay transparency, we are excited to share the base salary range for this position is $122,000.00 to $140,000.00, exclusive of bonuses and benefits. This role is also eligible for an annual corporate bonus and participation in the company equity program. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Requirements

Juris Doctor (JD) degree from an accredited law school
Active bar membership in at least one U.S. state
4–8 years of legal experience with a strong background in equity compensation programs, corporate law and securities law; experience in either a law firm or in-house legal department would be considered
Working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, and related SEC rules and exemptions
Experience drafting and advising on equity plan documents, award agreements, and private offering documentation
Strong understanding of equity compensation structures in private company environments
Demonstrated ability to manage complex, cross-functional initiatives and balance legal risk with practical business solutions
Excellent communication, negotiation, and interpersonal skills
Detail-oriented with strong analytical and problem-solving abilities
Ability to work in a fast-paced environment and manage multiple projects with tight deadlines

Responsibilities

Equity Program Oversight & Administration Serve as Legal department lead for equity compensation and equity management matters
Oversee day-to-day legal compliance for WEG’s equity compensation programs, including profits interests, incentive units, and cash-equivalent incentive arrangements
Advise on the design, implementation, and administration of equity compensation programs to ensure alignment with business objectives and legal requirements
Partner with Finance, HR, Payroll, and Equity Administration teams to ensure accurate and compliant equity grants, vesting, settlements, redemptions, and forfeitures
Interpret and advise on limited liability company agreement (LLCA) provisions and related equity documentation
Track and advise on accredited investor status and related compliance requirements
Securities Law & Regulatory Compliance Advise on securities law compliance and implications of equity transactions, including Securities Act, Exchange Act, SEC rules, registration requirements, and available exemptions
Ensure compliance with applicable federal and state securities laws in connection with equity offerings and equity-based compensation
Prepare and review required securities filings, including Form D and related documentation
Monitor regulatory developments and translate changes into practical internal guidance and updated documentation
Identify and mitigate securities-related risk through proactive review, internal controls, and policy enhancements
Manage and coordinate outside securities counsel, including defining scope of engagement and monitoring legal spend
Equity Transactions & M&A Support Provide equity-related legal support in connection with mergers and acquisitions, including equity consideration structure and treatment, due diligence related to outstanding equity awards, transaction-related disclosures, and integration of acquired equity arrangements
Support capital-raising and investor-related equity matters, including preparation and review of subscription agreements and related templates
Partner cross-functionally on complex equity management issues, including redemptions, restructurings, and related governance matters
Work closely with Employment Legal on matters involving restrictive covenants and other employment-related equity considerations
Documentation & Template Management Draft, review, and maintain equity-related documents, including equity plan documents, award agreements, subscription agreements, participant communications, and related templates and internal guidance materials
Ensure documentation remains current with regulatory changes and internal structural updates
General Legal Support Along with the rest of the Legal team, advise and support on general legal matters arising in WEG’s business, including changes in applicable law and responding to inquiries related to employment law matters
Provide thought leadership on equity governance and compliance within the organization
Prepare and present updates to leadership and business units regarding equity program developments and regulatory changes
Foster a culture of compliance, collaboration, and continuous improvement within the Legal function

Benefits

Training and professional development
Medical, dental and vision coverage (Available to full-time employees and their families)
Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
Life and AD&D insurance – employer paid and voluntary options
Short-term and long-term disability, workers compensation – employer paid
401k with match and profit sharing
Wellness programs and resources
Voluntary benefits, including pet insurance
18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
12 paid holidays each year (10 pre-determined and 2 floating days)
Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)