Legal Counsel – Broker/Dealer and RIA

The qualified candidate will report to the company’s General Counsel. The primary responsibilities of this Corporate Counsel position will revolve around the effective analysis and management of legal matters facing the firm’s duly-registered broker/dealer and RIA. Legal matters will include customer complaints, litigation and arbitration as well as oversight of the work of outside counsel on such matters. The Corporate Counsel position will also be involved in handling both routine regulatory inquiries as well as complex and involved regulatory matters, including internal fact-gathering exercises, document discovery/identification and management, witness preparation and direct communication with the various regulators. This position will partner with Legal and Compliance teams across the enterprise on all such matters in a collaborative and efficient manner. Duties will also include advising the business on broker-dealer / RIA and other securities law matters including issues affecting, providing day-to-day legal support to our broker/dealer and investment advisory businesses, as well as drafting various legal agreements, disclosures, policies and procedures, and supporting independent financial advisory practices as needed.

Principal Duties and Responsibilities:

• Actively oversee arbitrationsand litigation on behalf of the Firm. Have the ability to identify key aspects of a case, judge the merits of major arbitration/court cases filed against or on behalf of the company, work with the appropriate executive(s) to define strategic defense and recommend continuation or resolution of dispute where warranted.
• Selection, retention, management, and evaluation of all outside counsel.
• Draft, manage, and/or review all broker/dealer and RIA legal agreements including vendor agreements, contracts, selling agreements, marketing agreements, advisory agreements, NDAs, consulting agreements, disclosure forms.
• Work closely with Compliance and Regulatory teams to respond to regulatory inquires and enforcement matters. Provide guidance to executive management regarding industry and Firm related regulatory matters; participate in drafting regulatory filings.
• Work with management to define and develop corporate policies, procedures and programs and provide continuing counsel and guidance on legal matters and on legal implications of all matters regarding the broker/dealer and RIA, including collaboration with other teams when applicable.
• Engage in research and drafting of memoranda and presentations for key business initiatives.
• Manage claims and negotiate favorable application of company’s professional liability insurance arrangements and application to independent contractors and practices
• Work with accounting team to inform legal budget and appropriate reserve analyses
• Regulatory development tracking and implementation.

Ideal Education, Skills and Experience:

• 7-10 years relevant experience across comparable in-house positions and/or a major U.S. or international law firm.
• J.D. from accredited law school, admitted to practice and in good standing with relevant state bar;
• Ability to handle significant litigation, arbitration and regulatory matters independently.
• Familiarity with U.S. securities laws, with working knowledge of the ’33 Act and ’34 Act and FINRA rules and regulations.
• Understanding of independent contractor financial adviser model.
• Excellent written and oral communication skills and strong organizational skills.
• Ability to prioritize amongst competing and changing deadlines.
• Experience with E&O, D&O and Fidelity matters.
• Experience managing and working alongside other attorneys and supervising support staff in a corporation is required as well as experience with cost effective management of outside legal resources.

Founded in 1992, Centaurus is a leading independent broker/dealer and registered investment advisor (RIA) servicing over 600 independent financial advisers in most of the 50 states across the country. Headquartered in Anaheim, CA, with corporate offices in Leesburg, VA, Atlanta, GA and Coeur D’Alene, ID, Centaurus focuses on providing unparalleled service, support, technology, training and education to a broad spectrum of financial advisers in the securities industry.No relocation expense/reimbursement to this area is available.

Please provide your resume, availability, contact information and salary requirements. Salary is negotiable and is dependent upon experience.

Work Remote: No

No relocation expense/reimbursement to this area is available.

Job Type: Full-time

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Life insurance
• Paid time off

Schedule:

• 8 hour shift
• Monday to Friday

Ability to commute/relocate:

• Anaheim, CA 92806: Reliably commute or planning to relocate before starting work (Preferred)

Education:

• Master's (Preferred)

Experience:

• Legal counsel: 5 years (Required)

Work Location: One location

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