Counsel - Wealth Management (HYBRID)

EQH•Charlotte, NC

3d•Hybrid

About The Position

Equitable is seeking a highly motivated and business-oriented attorney, experienced in advising wealth management firms to serve as Counsel supporting its Wealth Management business. This role will be the primary legal partner responsible for structuring, negotiating, and executing transactions related to the onboarding of experienced financial professionals and acquisitions of books of business. This is a high-impact role offering direct engagement with senior business leaders and the opportunity to shape strategic growth initiatives within the Wealth Management business area. The Law Department’s Mission is to Serve as Equitable’s trusted counsel, empowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions. At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join us and enjoy working for a leading financial services company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is located in our Charlotte, NC office.

Requirements

Juris Doctor (JD) and active bar membership in good standing.
5+ years of combined relevant legal experience with law firms or serving as in-house counsel, with significant experience supporting wealth management firms.
Experience with wealth management, financial advisor platforms, or broker-dealer/RIA environments.
Established drafting and negotiation skills with experience handling complex agreements.
Experience advising on non-compete and non-solicitation agreements.
Ability to manage multiple transactions and priorities in a fast-paced environment.
Demonstrated business judgment and the ability to provide practical, solution-oriented advice.
Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.
Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.
Decision Making and Critical Thinking: Knowledge of the decision-making process and associated tools and techniques; ability to accurately analyze situations and reach productive decisions based on informed judgment.
Influencing: Knowledge of effective influencing tactics and strategies; ability to impact decisions within and outside own organization.
Legal Analysis: Knowledge of methods and tools used in legal analysis; ability to read, interpret and draw accurate conclusions from both legal and factual information.
Negotiation and Settlement: Knowledge of the principles, techniques and practices of negotiation and settlement of claims; ability to formulate and reach prompt and fair negotiating settlements for various claims.

Nice To Haves

Experience working in-house at a financial services firm or supporting wealth management clients.
Exposure to regulatory and compliance considerations applicable to financial professionals.
Collaborative mindset with the ability to work effectively across legal, compliance, and business teams.

Responsibilities

Serve as the lead legal advisor to the Wealth Management business on acquisition of books of business and other transactional matters.
Structure, draft, and negotiate a wide range of commercial agreements, including: Asset Purchase Agreements, Asset Retention Agreements, Loan Agreements, Promissory Notes, Other transaction-related and ancillary documentation.
Provide legal support for: Onboarding of financial professionals and advisor groups, Acquisitions of books of business by Equitable, Acquisitions of books of business by existing Equitable financial professionals.
Review and advise on restrictive covenant agreements, including non-compete and non-solicitation agreements and provisions.
Review financial professional candidate applications and hiring letters.
Lead and partner with outside counsel to address various legal issues including those associated with debt recovery in the event of default on debts owed by financial professionals.
Partner closely with internal stakeholders, including Compliance and Litigation, to ensure alignment on regulatory, risk, and dispute-related matters.
Identify legal and regulatory risks and provide practical, business-focused solutions.
Support the development and refinement of scalable legal processes for transactional workflows.