Litigation Attorney

Who We Are:

We are a newly independent wealth management firm, with approximately $500 million in revenue, recently carved out from a larger parent company and acquired by a leading private equity sponsor. With a strong foundation of client relationships, acquisitions, and growth potential, we are in the process of standing up new systems, processes, and controls to support our next phase of expansion. This is a unique opportunity to help shape the tax infrastructure of a high-growth platform from the ground up.

Summary:

Seeking a dynamic Mid-Level/Senior Associate to join an in-house legal team, focusing on regulatory/litigation matters, with employment context.

Key Responsibilities:

• Oversee litigation matters, including restrictive covenant disputes, employment disputes/investigations, and regulatory enforcement actions; manage outside counsel and develop litigation strategy.   
• Draft and review pleadings, settlement agreements, and other litigation-related documents that may arise.
• Provide risk assessments and legal analysis related to pending or threatened litigation and enforcement matters.
• Manage and coordinate responses to regulatory examinations, enforcement inquiries, and investigations from the SEC, DOL, and other regulators.
• Advise on compliance with the Investment Advisers Act of 1940, ERISA, and related regulatory frameworks, with particular emphasis on fiduciary duties, disclosure obligations, and prohibited transactions.
• Monitor and interpret regulatory developments and emerging litigation trends affecting RIAs and retirement plan services.
• Collaborate with internal business units to develop and implement compliance policies, training, and best practices that mitigate litigation and enforcement risks.

Qualifications:

• J.D. from an accredited law school and active membership in good standing with New York Bar
• 7–10 years of legal experience, with a focus on litigation/investigations, employment matters
• Prior experience managing regulatory investigations, enforcement actions, and litigation matters.
• Strong knowledge of the Investment Advisers Act of 1940, ERISA, and relevant SEC/DOL enforcement practices.
• In-house experience at an RIA or financial services company is a plus – RIA compliance, ERISA
• Strong judgment and ability to balance legal risk with business objectives.
• Direct experience responding to SEC enforcement actions and DOL audits.
• Experience with private funds, collective investment trusts, and complex investment products.

What We Offer: 

NFP, an Aon company, and Wealthspire Advisors is proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others. The base salary range for this position is $182,000 –$228,000. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.