Deputy General Counsel presso Cetera Financial Group Inc
Cetera Financial Group Inc · El Segundo, Stati Uniti d'America · Hybrid
- Senior
- Ufficio in El Segundo
The Deputy General Counsel will serve as a senior legal advisor within the legal department, providing strategic legal support to both the Registered Investment Advisory (RIA) and Broker-Dealer arms of the firm. This role requires deep expertise in securities law, investment advisory regulations, and broker-dealer compliance frameworks. The successful candidate will collaborate closely with business leaders, compliance, risk, and operations teams to ensure legal and regulatory alignment across all business activities.
What you will do:
Provide legal counsel on matters related to investment advisory services, brokerage operations, and financial product distribution.
Advise senior leadership on regulatory developments, risk mitigation strategies, and legal implications of business initiatives.
Ensure compliance with SEC, FINRA, and state securities laws and regulations.
Interpret and implement changes in laws and regulations affecting RIA and broker-dealer operations.
Draft, review, and negotiate a wide range of contracts including client agreements, vendor contracts, and partnership arrangements.
Collaborate with outside counsel and manage legal risks proactively.
Support internal policy development.
Supervise junior attorneys and legal staff.
Partner with compliance, risk, and business units to develop integrated legal solutions.
What you need to have:
Juris Doctor (JD) from an accredited law school.
Active member in good standing with a state bar.
Minimum of 15+ years of legal experience, with significant exposure to investment advisory and broker-dealer matters.
In-depth knowledge of federal securities laws, FINRA rules, and state regulatory frameworks.
Experience working in-house at a financial institution and/or with a law firm specializing in financial services.
Strong leadership, communication, and organizational skills.
Ability to manage multiple priorities in a fast-paced, evolving environment.
What will really catch our eye:
Familiarity with insurance regulations and alternative investment structures.
Experience with digital platforms and fintech-related legal issues.
Strategic thinker with a proactive approach to problem-solving.
High ethical standards and commitment to integrity.
Experience in employment law
Support M&A activity and strategic transactions as needed.
Compensation:
The salary range for this role is $255,000 - $315,000 plus competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.
#LI-Hybrid
Company
What we give you in return:
Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions,and Cetera Financial Specialists.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
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