Senior General Counsel — Investment Management Growth

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

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