Job Description
As Vice President & Chief Counsel, Retail Advisory, you will serve as the senior legal advisor and strategic partner to executive leadership for our Retail Advisory business. You will shape legal strategies across managed accounts, financial planning, investment research and portfolio management while helping the business pursue growth, innovation and effective risk management. In this officer-level role, you will influence significant business initiatives and acquisitions, strengthen governance and compliance, and lead a team of solutions-oriented legal professionals. This is an opportunity to bring deep investment advisory expertise and sound judgment to decisions that advance the business and serve clients.
Responsibilities
Lead legal support for the Retail Advisory business, including managed accounts, financial planning, investment research and portfolio management.
Serve as a strategic legal advisor to executive leadership on business priorities, significant initiatives and acquisitions involving retail advisory solutions.
Develop and execute legal strategies that enable responsible growth, innovation and effective risk management.
Partner with senior stakeholders to strengthen governance, promote sound risk management and reinforce a strong culture of compliance.
Interpret emerging legal, regulatory and industry developments and provide clear, practical guidance on their business implications.
Lead, develop and inspire a high-performing team of attorneys and legal professionals who operate as solutions-oriented business partners.
Qualifications
10 or more years of legal experience supporting investment advisory, wealth management or other financial services businesses; 15 or more years of relevant legal experience is preferred.
Deep expertise in the Investment Advisers Act of 1940 and state and other regulatory requirements applicable to retail advisory offerings.
Significant experience advising executive leadership on strategic business decisions and successfully leading attorneys and legal professionals.
Juris Doctor degree from an accredited law school.
Admission to practice law in Minnesota, Massachusetts or North Carolina, or eligibility for admission as in-house counsel.
Expertise in Regulation Best Interest and Employee Retirement Income Security Act regulations applicable to retail offerings is preferred.
Demonstrated ability to lead large, cross-functional initiatives and build high-performing legal teams.
Strong business acumen, executive presence, communication, relationship management, collaboration and influencing skills.
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
U.S. Work Authorization & Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Base Pay Salary
The estimated base salary for this role is $250,000 - $300,000/ year. We have a pay-forperformance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full time
Exempt
Legal Affairs
GCO General Counsel's Organization
