Day-to-day legal support for our clients’ Wealth Management’s investment advisory business, including providing legal analysis and advice with respect to applicable rules, regulations, and legal risk relating to the fiduciary standard of care, trading, best execution, trade allocation, operational issues, principal trading rules, investment allocations, client fee structures, and cash solicitation rules. Advising on matters related to the various types of clients serviced by Wealth Management, including retail natural persons, high net worth individuals, family offices, institutions, charitable organizations, and pension plans, among others.
WHAT YOU WILL WORK ON
- Drafting client agreements, account documentation and disclosure, and negotiating agreements with portfolio managers.
- Working with various areas of the Wealth Management business on new product and services development.
- Working directly with clients and their counsel on issues relating to contracts and related matters.
- Dealing with relevant regulators, especially the SEC.
- Interacting with other Legal Department areas as well as Compliance and Risk.
WHAT YOU WILL BRING
- Bachelor’s degree
- Familiarity with regulatory processes: SEC and FINRA
- 3-5+ years of experience in dealing with issues arising under the Investment Advisers Act of 1940, FINRA rules and regulations as well as related federal securities laws and state fiduciary laws
- Ability to interface effectively with investment personnel as well as Wealth Management clients and their counsel.
- Experience in drafting client communications and other disclosure documents; negotiating contracts.
- Understanding of the regulatory landscape applicable
WHAT YOU CAN EXPECT
- Variety of workplace arrangements including hybrid, remote, onsite.
- Compensation commensurate with employee qualifications, experience, and other factors including geographic location, market, and operational factor
- Pay Range: $80/hr
- Benefits: Medical, Dental, Vision, Life insurance, Disability insurance, 401(k) savings plan, Employee Stock Purchase plan, Professional development program, Paid Time Off, Paid Sick Time (in geographies where legally required)
- An inspirational place for you to do your best work, be engaged in meaningful ways, and continually develop the skills, competencies, and qualities that set our team apart.
WHAT WE DO
As a next-generation human capital firm, we connect the best talent in the market to execute transformation and high-value projects for our global clients-solving problems in the areas of Business Transformation, Governance, Risk and Compliance, and Technology and Digital Innovation.
Our unique consulting model allows you the radical flexibility and control you demand in the “Now of Work,” enabling you to define your career path based on your expertise, passion, desire to travel, work environment and life stage. At RGP, diversity, equity and inclusion are critical underpinnings of our shared values. We recognize diversity as a strength that is cultivated through our culture, our people, and our business.
Learn more about the humans of RGP and how we support our people .
Equal Opportunity Employer
RGP is proud to be an Equal Opportunity Employer and committed to creating an inclusive environment for all employees. We do not discriminate on the basis of race, color, religion, national origin, gender, pregnancy, sexual orientation, gender identity, age, physical or mental disability, genetic information, veteran status, or any other legally protected trait and encourage all applicants to apply.