Senior Counsel, Advice and Brokerage
About The Position
Join a great place to work with MissionSquare, a financial services corporation with approximately $79 billion in assets under management and administration and over 600 employees. Founded in 1972, MissionSquare is dedicated to the retirement needs of public sector employees. We focus on delivering results-oriented retirement and retiree health savings plans, education, investment options, personalized guidance, and related services to public sector participants in more than 9,200 plans and nearly 2 million participant accounts. We strive to make the administration of retirement programs as easy and cost-effective as possible. We have an extraordinary talent base and invite you to consider joining MissionSquare. $164,170.00 - $262,670.00 The Senior Counsel, Advice and Brokerage will support MissionSquare’s broker-dealer and investment advisory offerings and strategic initiatives. The attorney will be a senior subject matter expert on rules and regulations impacting broker-dealers and investment advisers and will partner with departments throughout the firm to support and grow the business in accordance with relevant laws and regulations. The position will be based in Washington, D.C. or may be remote.
Requirements
- Juris Doctor and active bar admission.
- Minimum 8 years of securities law experience, with a focus on retail broker-dealer and investment advisory services.
- Position title to be commensurate with experience.
- Strong mastery of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934 and FINRA rules.
- Excellent verbal and written communication and able to distill complex legal concepts for business partners.
- Proven ability to work independently and exercise sound judgment.
- Ability to manage multiple projects simultaneously and meet strict deadlines.
- Relationship-building skills, with the ability to influence and build consensus across teams.
Responsibilities
- Provide pragmatic advice on legal and regulatory issues relevant to a wide variety of broker-dealer and investment advisory matters and offerings, including wrap fee programs, financial planning, managed accounts, and self-directed brokerage.
- Draft and advise on regulatory disclosure documents and policies and procedures.
- Work cross departmentally to ensure regulatory compliance and to implement business priorities.
- Draft and negotiate contracts impacting MissionSquare’s business.
- Monitor and interpret legal and regulatory developments impacting brokerage and investment advisory offerings, and communicate within Legal and cross-departmentally.
- Other duties as assigned.
Benefits
- Competitive Total Rewards package, including base pay, incentive programs, benefits, and a 401(k) plan with matching contributions
- Flexible and hybrid work schedules to support work-life balance
- Tuition reimbursement to support continued education
- Professional and career development opportunities, including courses and certifications
- Comprehensive wellness programs promoting physical, mental, and emotional health
- Volunteerism initiatives to encourage community engagement
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
