Senior Counsel, Advice and Brokerage jobs in United States
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MissionSquare · 1 day ago

Senior Counsel, Advice and Brokerage

positionDistrict of Columbia, United States
timeFull-time
remoteHybrid
senioritySenior Level, Lead/Staff
money$164K/yr - $263K/yr
date8+ years exp

MissionSquare is a financial services corporation dedicated to the retirement needs of public sector employees. The Senior Counsel, Advice and Brokerage will support broker-dealer and investment advisory offerings, ensuring compliance with relevant laws and regulations while collaborating across departments.

Financial ServicesInsuranceRetirement

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

Qualification

Juris DoctorSecurities law experienceInvestment Advisers ActSecurities Exchange ActFINRA rulesVerbal communicationWritten communicationProject managementRelationship-building

Required

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

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

Company

MissionSquare

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Since its founding in 1972, MissionSquare has remained dedicated to helping individuals and their families build financial security.
dateFounded in 1972
location
Washington, District of Columbia, USA
people-size501-1000 employees
web-link
https://www.missionsq.org

Funding

Current Stage
Late Stage

Leadership Team

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Andrew Whiting
Chief Sales Officer
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Lisa Raff
Chief Human Resources Officer
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Recent News

Business Wire
MissionSquare names Yulia Alekseeva to lead Fixed Income
2026-01-07
Business Wire
MissionSquare evolves customer experience to help meet the growing financial needs of individuals and their families
2025-09-09
Business Wire
MissionSquare announces firm’s largest reduction in fund costs, providing investors with greater long-term investment value
2025-08-07
Company data provided by crunchbase