Wealth Management Associate Counsel — Growth & Bonus Opportunity

dfwHR; Dallas (TX); On-site; USD 110,000 - 170,000; Full time

Benefits offered by this job

15% annual bonus

25,000 Class B units

15 days PTO during the first year

Relocation assistance

401(k) with company match

Medical insurance with 80% premiums

Dental and vision insurance

Life insurance

Short & long term disability

Parental leave

Employee Assistance Program

Mentorship and development

Job summary

dfwHR seeks an Associate Counsel for its Wealth Management division in Dallas, TX. The role focuses on transactional legal work, drafting and negotiating agreements, and supporting regulatory initiatives across wealth management, advisory and broker-dealer operations.

You will collaborate with compliance, risk, and executive teams to provide practical guidance and manage outside counsel as needed. Ideal candidates have 3–5 years in wealth management or financial services law, strong drafting

Qualifications

• Approximately 3–5 years of relevant legal experience; exceptionally strong candidates with approximately 2 years may also be considered
• Transactional legal experience within wealth management, asset management, financial services or a related commercial environment
• Financial services industry experience required
• Familiarity with the Investment Advisers Act of 1940, Securities Act of 1933, Investment Company Act of 1940, FINRA rules and state securities laws
• Strong commercial drafting and contract negotiation skills
• Strong written and verbal communication skills
• Proactive approach with the confidence to provide legal advice and direction to business stakeholders

Responsibilities

• Serve as a transactional and commercial legal resource supporting a rapidly growing wealth management business
• Review, draft and negotiate commercial agreements and other transactional documents
• Support legal matters involving financial advisors, clients, advisor transitions and client transitions
• Assist with strategic, corporate and regulatory initiatives across the wealth management organization
• Partner closely with legal, executive, compliance and regulatory teams
• Provide practical legal guidance regarding commercial transactions, regulatory considerations and business initiatives
• Assist with legal and regulatory matters involving both registered investment advisory and broker dealer operations
• Work collaboratively with compliance and regulatory teams to support internal processes involving transactions, compliance and risk management
• Assist with arbitration, litigation and complaint matters involving the wealth management business
• Coordinate with and manage outside counsel as appropriate
• Assist with management of legal expenses
• Support E&O insurance matters for the organization and its financial advisors
• Develop relationships with stakeholders throughout the organization and provide responsive, solutions oriented legal counsel

Job description

dfwHR seeks an Associate Counsel for its Wealth Management division in Dallas, TX. The role focuses on transactional legal work, drafting and negotiating agreements, and supporting regulatory initiatives across wealth management, advisory and broker-dealer operations.

You will collaborate with compliance, risk, and executive teams to provide practical guidance and manage outside counsel as needed. Ideal candidates have 3–5 years in wealth management or financial services law, strong drafting