General Counsel

Confidentiel; Columbus (OH); On-site; USD 180,000 - 280,000; Full time

Job summary

Confidentiel, a successful, growing investment management firm with a long-standing history, seeks an experienced General Counsel to join its executive leadership. The General Counsel will lead legal, regulatory, governance and risk across its diversified platform, partnering with senior leaders and boards to enable growth while protecting the firm.

The role requires strategic business acumen, extensive regulatory knowledge, and a proven ability to manage a broad compliance function, including

Qualifications

• J.D. from an accredited law school and active bar membership.
• 15+ years of legal experience with investment management, securities, RIAs, mutual funds, broker-dealers or related financial services.
• Deep knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, SEC regulations, and FINRA rules.
• Broad experience across RIAs, broker-dealers, mutual funds, and/or mutual fund servicing operations.
• Demonstrated experience advising senior executives and governing boards.
• Experience supporting or leading responses to SEC and/or FINRA examinations.
• Proven ability to lead and develop legal and compliance professionals.
• Knowledge of cybersecurity, privacy, technology risk, and AI governance.

Responsibilities

• Serve as chief legal advisor to executive leadership and governing boards.
• Provide practical, business-oriented guidance balancing regulatory risk with growth.
• Partner with business leaders on products, distribution, and strategic initiatives.
• Draft, review, and negotiate complex commercial and regulatory agreements.
• Oversee litigation, regulatory inquiries, subpoenas, and outside counsel.
• Support acquisitions, due diligence, structuring, negotiation, regulatory approvals, and integration.
• Advise on board governance, policies, and corporate records.
• Lead compliance programs and prepare for SEC/FINRA examinations.
• Help govern responsible AI use, privacy, data security, and vendor risk.
• Coordinate with technology and information security on cybersecurity and REG S-P.

Skills

Executive leadership

Strategic business partnering

Regulatory compliance

Legal risk management

Communication & advisory

Education

J.D. from an accredited law school

Active membership in good standing with a state bar

Job description

A successful, growing investment management firm with a long-standing history in the industry is seeking an experienced General Counsel to join its executive leadership team.

With decades of experience, an established reputation, and continued momentum across its businesses, the firm is looking for a senior legal executive who can help support its next chapter of growth while protecting the organization, its clients, and its reputation.

The General Counsel will serve as the firm's senior legal executive and a trusted strategic advisor to executive leadership and governing boards. This individual will lead legal affairs, regulatory compliance, corporate governance, and enterprise risk across a diversified investment platform that includes registered investment advisers, broker-dealer operations, mutual funds, liquidity pools, and mutual fund servicing operations.

This opportunity is ideal for a commercially minded legal leader who goes beyond identifying risk and brings practical solutions that enable the business to move forward thoughtfully and responsibly. The General Counsel will also provide leadership and oversight to an established compliance team.

Key Responsibilities

Strategic Legal Leadership & Business Partnership

• Serve as chief legal advisor and trusted counsel to executive leadership and governing boards.
• Provide practical, business-oriented guidance that appropriately balances regulatory risk with strategic and growth objectives.
• Partner with business leaders on new products, distribution relationships, platform agreements, strategic initiatives, and other growth opportunities.
• Draft, review, and negotiate complex commercial, vendor, intermediary, technology, and other corporate agreements.
• Oversee litigation, disputes, regulatory inquiries, subpoenas, and outside counsel relationships.
• Support acquisitions, strategic partnerships, and corporate transactions, including due diligence, structuring, negotiation, regulatory approvals, and integration.
• Advise on Board and committee governance, including policies, resolutions, meeting materials, and corporate records.

Investment Management & Regulatory Counsel

• Advise registered investment advisers on fiduciary obligations, Form ADV, the Marketing Rule, custody, codes of ethics, advisory programs, separately managed accounts, and retirement plan services.
• Provide guidance on broker-dealer and FINRA matters, including communications with the public, supervision, Regulation Best Interest, licensing, and registration requirements.
• Counsel mutual fund businesses on Investment Company Act matters, fund governance, registration statements, shareholder communications, launches, reorganizations, and applicable SEC requirements.
• Advise on mutual fund servicing activities, including fund administration, fund accounting, transfer agency, privacy, anti-money laundering, and related regulatory obligations.
• Review marketing materials, investor communications, RFPs, due diligence questionnaires, and public disclosures.
• Monitor regulatory developments and translate changes into clear, actionable guidance for business leaders.

Compliance Leadership

• Lead, mentor, and develop a five-person compliance team while fostering a collaborative, business-oriented culture.
• Oversee compliance programs supporting advisers, broker-dealer activities, funds, and fund servicing operations.
• Lead preparation for SEC and FINRA examinations and oversee appropriate remediation efforts.
• Present regulatory developments, compliance matters, and risk assessments to executive leadership and governing boards.
• Help establish and oversee governance for the responsible use of artificial intelligence, including privacy, data security, vendor risk, recordkeeping, and regulatory considerations.
• Partner with technology and information security leadership on cybersecurity, incident response, data protection, and Regulation S-P requirements.
• Provide legal and risk oversight related to business continuity and disaster recovery planning.

Qualifications & Experience

• J.D. from an accredited law school and active membership in good standing with at least one state bar.
• 15+ years of legal experience, with significant exposure to investment management, securities, registered investment advisers, mutual funds, broker-dealers, or related financial services.
• Deep knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, applicable SEC regulations, and FINRA rules.
• Broad experience across RIAs, broker-dealers, mutual funds, and/or mutual fund servicing operations.
• Demonstrated experience advising senior executives and governing boards.
• Experience supporting or leading responses to SEC and/or FINRA examinations.
• Proven ability to lead and develop legal and compliance professionals.
• Working knowledge of evolving issues involving cybersecurity, privacy, technology risk, and AI governance.

Preferred Experience

• Current or previous experience as a General Counsel, Deputy General Counsel, Associate General Counsel, or Chief Legal Officer within an asset manager, RIA, mutual fund complex, broker-dealer, or fund services organization.
• Direct experience advising ’40 Act mutual fund boards and independent trustees.
• M&A or strategic transaction experience within a regulated financial services environment.
• Exposure to ETFs, collective investment trusts, public funds, and/or local government investment pools is beneficial.

What We’re Looking For

The successful candidate will bring more than technical legal expertise. We are looking for a leader with:

• Business-Minded Judgment: Understands both risk and opportunity and helps leadership make sound, commercially practical decisions.
• Trusted Advisor Presence: Builds credibility through sound judgment, responsiveness, discretion, and clear communication.
• Executive Leadership: Operates comfortably with senior executives, boards, regulators, and business leaders.
• People Leadership: Develops talent, establishes clear expectations, and builds a high-performing compliance organization.
• Forward-Looking Perspective: Anticipates regulatory, industry, technology, cybersecurity, and AI-related developments.
• Practical Problem Solving: Approaches complex issues with a solutions-oriented mindset and helps the business identify a responsible path forward.

Why Consider This Opportunity?

This is an opportunity to join an established investment management organization with a long history of success, a strong foundation, and continued growth ahead.

The General Counsel will have meaningful exposure to senior leadership and governing boards and the opportunity to influence decisions across the organization. For an accomplished legal executive, this role offers the chance to help protect what the firm has built while playing an important role in shaping where the business goes next.

All inquiries and applications will be handled confidentially.