Senior Investment Advisory Counsel - 100% Remote Eligible
(230000AX)
Primary Location: UNITED STATES-NC-Charlotte
Other Locations: UNITED STATES-NY-SYRACUSE
Organization: Equitable
Schedule: Full-time
Description
At Equitable, our power is in our people. We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?
At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Compliance team and enjoy working for a leading financial services company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC or Syracuse, NY office.
We are looking for a seasoned, passionate and highly motivated investment advisory attorney to join our Compliance Group within the Law Department. This mid-to senior level attorney will be reporting to the IA CCO and will be generally responsible for the legal and compliance needs of the firm’s retail registered investment adviser. The ideal candidate will have the ability to see and understand the business imperatives that are driving the need for legal and compliance advice and offer practical advice and solutions. Candidate must be willing to take on new challenges and looking to build a career within one of the leading U.S. financial services companies.
Key responsibilities include the following, but are not limited to:
- Providing legal and compliance support to the firm’s retail registered investment adviser, Equitable Advisors, LLC.
- Advising and counseling the RIA’s senior management regarding new initiatives.
- Supporting the firm’s compliance counsel in advising our 3,500+ investment adviser representatives regarding legal and compliance issues, particularly as they relate to the Advisers Act and/or ERISA.
- Representing Equitable Advisors, LLC. in connection with regulatory inquiries and examinations.
- Advising and supporting the IA CCO in designing and conducting the firm’s 206(4)-7 program.
- Reviewing and revising Written Supervisory Procedures (WSPs), Code of Ethics, Investment Advisory Compliance Guide, third party agreements and disclosure documents, as well as other operational documents as needed to comply with regulatory changes.
- Preparing and filing annual and ad-hoc updating amendments to the Form ADV and Brochure and other required documents.
- Keeping current on applicable regulations, including but not limited to the Advisers Act, SEC Marketing Rule and ERISA.
- Assisting in the development and annual update of ORIA examination protocols and ORIA Manual.
The base salary range for this position is $140,000-$200,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.
For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.
Equitable Pay and Benefits: Equitable Total Rewards Program
Qualifications
Required Qualifications:
- Juris Doctorate degree
- Member in good standing of a State Bar Association
- 6+ years of experience in investment advisory matters (substantial ERISA experience is a plus).
- Established drafting and negotiating skills.
- Demonstrated written/verbal communication skills and investigative/analytical/problem resolution skills.
Preferred Qualifications:
- Experience in major law firm or large in-house department highly desired (a combination is a plus).
- Ability to build relationships and effectively counsel across all levels of the organization.
- Established knowledge of investment advisory products and SEC Rules and Regulations, including ERISA.
- Knowledge of brokerage and advisory business operations.
- Proven project management skills and ability to meet internal and external deadlines.
Skills
Business Acumen: Knowledge of business concepts, tools, and processes that are needed for making sound decisions in the context of the company's business; ability to apply this knowledge appropriately to diverse situations.
Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.
Decision Making and Critical Thinking: Knowledge of the decision-making process and associated tools and techniques; ability to accurately analyze situations and reach productive decisions based on informed judgment.
Legal Analysis: Knowledge of methods and tools used in legal analysis; ability to read, interpret and draw accurate conclusions from both legal and factual information.
Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.
ABOUT EQUITABLE
At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.
We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.
We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.
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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.
NOTE: Equitable participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com.
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