Senior Asset Management Counsel – Wealth & Advisory

SEI Corporation; Northern (KY); Hybrid; USD 180,000 - 230,000; Full time

Benefits offered by this job

Healthcare

401(k) match

Paid time off

Parental leave

Education assistance

Back-up childcare

Job summary

SEI seeks a Senior Attorney to join its Asset Management Legal team in Oaks, PA, delivering legal and regulatory support across SEI’s wealth management, advisory, asset management, and distribution businesses.

You will advise on investment advisory programs, distribution platforms, model portfolios, and regulatory matters, while drafting agreements and coordinating with business, compliance, risk, technology, and other legal teams to enable scalable investment solutions.

Qualifications

• JD from an accredited U.S. law school and an active license in at least one U.S. jurisdiction.
• 4–6 years of relevant legal experience at a law firm or as in-house counsel in financial services.
• Experience addressing legal and regulatory issues involving registered investment advisers, advisory businesses, distribution arrangements, wealth management services, or related platform support matters.
• Strong analytical ability to assess complex legal/regulatory issues and provide practical, business-focused guidance.
• Excellent legal research, drafting, negotiation, communication, and stakeholder management skills.
• Ability to balance strong business partnership with independent legal judgment and timely escalation of issues.
• Strong organizational skills with the ability to manage multiple priorities in a dynamic environment.
• High integrity, professionalism, discretion, and sound judgment.

Responsibilities

• Advise Wealth Management and Advisory Businesses on investment advisory programs, managed account platforms, discretionary/non-discretionary advisory services, model delivery programs, goals-based advice, OCIO services, investment strategies, and customizable wealth management solutions.
• Advise registered investment adviser entities and business teams on matters arising under the Investment Advisers Act of 1940 and related regulatory requirements, including fiduciary obligations, conflicts of interest, disclosures, advertising, client communications, and compliance programs.
• Support intermediary, high-net-worth, retirement, institutional, and retail advisory offerings, including matters involving IRAs and other qualified accounts.
• Advise on legal/regulatory considerations involving investment models, proprietary strategies, outsourced solutions, model portfolios, UMA/SMA frameworks, ETFs, mutual funds, and related components.
• Advise on conflicts of interest, compensation arrangements, revenue/fee structures, disclosures, fiduciary considerations, and regulatory positioning with respect to proprietary vs third-party investment products.
• Provide day-to-day and strategic legal support for platforms and programs that support the development, delivery, disclosure, and distribution of investment solutions through fee-based channels.

Job description

SEI seeks a Senior Attorney to join its Asset Management Legal team in Oaks, PA, delivering legal and regulatory support across SEI’s wealth management, advisory, asset management, and distribution businesses.

You will advise on investment advisory programs, distribution platforms, model portfolios, and regulatory matters, while drafting agreements and coordinating with business, compliance, risk, technology, and other legal teams to enable scalable investment solutions.