SVP, Legal Counsel - Growing Financial Services Company
SVP, Legal Counsel - Growing Financial Services Company
Location: Salt Lake City, UT (Hybrid)
The Opportunity
This is a senior, hands-on role for an attorney who can advise on financial product structuring, offering and distribution, and the securities regulatory framework that supports those activities. You will serve as a key legal partner to business leadership, providing practical, business-oriented counsel on complex issues involving structured investments, annuities, and securities laws/regulations, including FINRA rules and the Securities Act of 1933 and Securities Exchange Act of 1934.
What You'll Do
- Provide legal advice across the lifecycle of financial products, including structured investments and annuities (design, documentation, review, launch, and ongoing support).
- Advise on matters involving the Securities Act of 1933, Securities Exchange Act of 1934, and related rules/regulatory guidance impacting product offerings, communications, and distribution.
- Partner closely with Compliance, Risk, Supervision, and Business leadership to ensure offerings, disclosures, and processes align with regulatory requirements and firm policy.
- Support legal review of sales and marketing materials, client communications, presentations, and training content to ensure appropriate disclosures and regulatory alignment.
- Provide counsel on FINRA considerations impacting distribution, supervision, communications with the public, suitability/Reg BI-related issues (where applicable), and supervisory controls.
- Assist with responses to regulatory inquiries/exams and support internal reviews, escalations, and remediation efforts as needed.
- Draft, review, and negotiate a range of commercial and distribution-related agreements (e.g., third-party providers, platform partners, distribution arrangements).
- Help build scalable legal processes (templates, playbooks, and training) and serve as a trusted advisor in a fast-moving environment.
What We're Looking For
- J.D. from an ABA-accredited law school; active bar membership in good standing (Utah not required; ability to become licensed as needed is a plus).
- Minimum 8 years of relevant legal experience, including in-house and/or law firm experience supporting financial services and financial products.
- Demonstrated experience advising on structured investments and/or annuities (or closely related investment/insurance-linked products).
- Strong working knowledge of The Securities Act of 1933, The Securities Exchange Act of 1934, and FINRA rules applicable to product distribution, communications, and supervisory frameworks
Preferred Qualifications (Nice to Have)
- Experience supporting broker-dealer and/or RIA models, product distribution platforms, or intermediary distribution channels.
- Familiarity with product-related issues such as disclosures, distribution oversight, third-party risk, complaints/escalations, and exam readiness.
- Experience building scalable legal processes in a growing organization.
Why This Role
- High visibility role supporting a growing platform with meaningful product complexity
- Ability to shape legal strategy and build durable processes as the business scales
- Collaborative, business-partnering culture with direct access to senior decision-makers
FAQs
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