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Steward Partners · 1 day ago

Associate General Counsel

United States

Full-time

Hybrid

Senior Level, Lead/Staff

10+ years exp

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families. The Associate General Counsel will provide legal support and expertise for the wealth management business, focusing on employment law counseling and litigation management.

AdviceAsset ManagementBankingConsultingDelivery ServiceFinancial Services

Responsibilities

Oversee and manage litigation (including FINRA and AAA arbitrations), subpoenas, and dispute resolution processes, including reviewing pleadings, developing strategy, and discovery matters

Provide hands-on oversight of external litigation counsel to ensure efficient, high-quality representation

Provide and manage delivery of legal advice on a range of employment and compensation matters, including recruitment, hiring, onboarding, employee benefits/ERISA matters, health and welfare plans, wage and hour, pay equity, performance management, internal investigations, terminations, retirement plans, advisor transitions, licensing and registration, mergers, acquisitions and outsourcing

Advise on (draft, negotiate, and/or review) employment-related policies and procedures and a range of employment-related documents, including offer letters, employment contracts, separation agreements, confidentiality provisions, and restrictive covenant agreements

Collaborate with relevant stakeholders to address FINRA, SEC, and state regulatory matters and customer complaints

Provide legal guidance and support on other areas of the wealth management business as requested, including regulatory compliance, contracts, M&A transactions and corporate law

Support the General Counsel in developing and executing legal department strategy and initiatives

Develop and implement legal documents, policies and procedures to support business objectives while managing risk

Stay abreast of industry trends and regulatory developments impacting advisor transitions, employment and litigation, and advise stakeholders accordingly

Represent the firm as needed (including as corporate representative) in mediations, litigation, arbitration and regulatory proceedings

Ensure compliance with federal, state, and local laws and regulations

Travel as needed (less than 25%) for litigation matters including witness preparation, mediations, trials, and hearings

Qualification

Employment lawLitigation managementFINRA arbitrationSecurities regulationsCorporate lawDrafting skillsHigh ethical standardsCommunicationNegotiation skillsOrganizational skillsCollaborationGrowth mindset