<p><strong>General Counsel</strong></p><p><strong> </strong></p><p>Robert Half has partnered with a well-established financial services/wealth management company on the search for a General Counsel. This position is responsible for overseeing the organization’s legal affairs and enterprise compliance functions, ensuring the organization meets its fiduciary, regulatory, and operational obligations while proactively managing risk. The General Counsel plays a central role in corporate governance, regulatory strategy, and executive decision-making, serving as a trusted advisor to senior leadership.</p><p> </p><p><strong>Key Responsibilities</strong></p><p><strong> </strong></p><p><strong>Legal Affairs</strong></p><ul><li>Serve as the principal legal advisor to the CEO and executive team on corporate governance, fiduciary responsibilities, and enterprise risk.</li><li>Oversee the drafting, negotiation, and management of contracts, transactions, litigation, and strategic agreements, including mergers and acquisitions.</li><li>Direct and manage outside legal counsel and advisors.</li><li>Identify and mitigate legal risks in alignment with business objectives.</li></ul><p><strong>Compliance & Regulatory Oversight</strong></p><ul><li>Lead and continuously enhance the organization’s compliance program and internal control environment.</li><li>Ensure compliance with applicable federal securities and investment regulations, including oversight of regulatory examinations.</li><li>Maintain and enforce the organization’s Code of Ethics and compliance policies.</li><li>Oversee regulatory filings and disclosures (e.g., Form ADV, Form 13-F, and related reports).</li><li>Serve as the primary liaison with regulators and internal/external auditors.</li></ul><p><strong>Executive Leadership</strong></p><ul><li>Actively participate as a member of the executive leadership team, contributing to strategic planning and enterprise initiatives.</li><li>Support execution of the business plan in alignment with the CEO’s vision.</li><li>Ensure legal and compliance considerations are integrated into operational and strategic decisions.</li></ul><p><strong>Team Leadership & Culture</strong></p><ul><li>Lead, mentor, and hold accountability across legal and compliance personnel.</li><li>Promote a culture of ethics, collaboration, and high performance.</li><li>Support professional development and succession planning within the function.</li></ul><p> </p><p>Candidates interested in this position should have 10+ years of experience in legal, compliance, and risk management within a financial services or investment environment. A JD from an accredited law school is required in addition to an active license to practice law in at least on U.S. jurisdiction. Certified Securities Compliance Professional (CSC) and Certified Investment Company Compliance Professional (CICCP) certifications are required. </p><p> </p><p>Our client offers a competitive compensation and benefits package. If interested, send your resume to corey.tasker@roberthalf{{dot}}com for immediate consideration! </p>

• A Juris Doctor (JD) degree from an accredited law school and active license to practice law in at least one U.S. jurisdiction.<br>• Minimum of 10 years of experience in legal, compliance, and risk management within financial services or investment industries.<br>• Expertise in corporate law, mergers and acquisitions, and corporate governance.<br>• Familiarity with federal securities regulations and investment compliance requirements.<br>• Strong skills in contract negotiation and management within a financial context.<br>• Certifications such as CSCP (Certified Securities Compliance) or CICP (Certified Investment Company Compliance) are required.<br>• Proven ability to lead teams and foster a collaborative, ethical work environment.<br>• Exceptional communication and leadership skills to effectively advise senior executives and stakeholders.

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