Senior Counsel

Based in El Segundo, California, Cetera Financial Group, Inc. is one of the nation’s largest financial advisor networks.  Cetera is redefining the delivery of professional financial advice through the establishment of our Advice-Centric Experience™.  Cetera offers a number of award-winning financial advisor support resources, including wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology for independent financial professionals and financial institutions. 

The successful candidate will join a legal team of highly experienced lawyers who have corporate, litigation, broker-dealer, and investment advisory practice backgrounds.  This position offers an excellent opportunity for long-term professional growth and development of a sophisticated and rewarding legal practice supporting the retail investment advice profession that is vital to the well-being of our clients.

This position reports to the Corporate Deputy General Counsel and is located in New York City or El Segundo, California.

What you will do:

You will provide strategic advice and legal counsel to Cetera’s business. You will provide actionable, proactive, practical, and sound legal advice to your business and compliance colleagues.     

Your responsibilities will include:

• Research, prepare and deliver high-quality and timely legal advice to internal business partners and senior management

• Draft and negotiate complex documents for bespoke arrangements with advisors, financial institutions and clients.

• Support corporate governance and finance activities

• Participating as the Legal Department representative on Cetera project teams and governance committees as assigned

• Draft and negotiate M&A transaction documents (collaborating with outside counsel when necessary) including asset purchase agreements, stock purchase agreements, transition services agreements, letters of intent, term sheets and associated ancillary documents 

• Work closely with treasury on financing documents including credit agreements, indentures and related documents

• Develop and maintain current knowledge of regulatory developments

• Other duties as assigned including human resources and employment related issues

What you need to have:

• JD with a strong academic background

• 5-10 years of experience at a law firm and/or in-house legal department

• Demonstrated excellent oral and written communication, analytical, research, and strategic thinking skills to effectively communicate issues and recommendations at all levels of the Company

• Familiarity with, or the desire to learn, the laws, regulations, and business operations of a retail broker-dealer and investment adviser

• Ability to work independently and accept a high degree of accountability

• Ability to analyze complex matters while providing simple, actionable advice

• Team and service orientation

• Strong legal research skills

• Strong work ethic

• Sound judgment and problem-solving skills

• Strong organizational and time-management skills

• Admission to the California or New York bar, or registration as or ability to register as in-house counsel in California or New York

What we give you in return:

We offer competitive compensation packages and associated benefits.  Our health program offers a comprehensive benefits package that supports healthy lifestyles and preventative care, and helps to protect against hardship.  Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.

Compensation:

The base annual salary range for this role is $170000 - 190,000K, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

About Us

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 plus 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 one of the largest independent financial advisor networks in the nation by number of advisors, as well as 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 independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC.

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 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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