Senior Counsel

Based in El Segundo, California, Cetera Financial Group, Inc. is one of the nation’s largest financial advisor networks.  Cetera is redefining the delivery of professional financial advice through the establishment of our Advice-Centric Experience™.  Cetera offers a number of award-winning financial advisor support resources, including wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology for independent financial professionals and financial institutions. 

The successful candidate will join a legal team of highly experienced lawyers who have corporate, litigation, broker-dealer, and investment advisory practice backgrounds.  This position offers an excellent opportunity for long-term professional growth and development of a sophisticated and rewarding legal practice supporting the retail investment advice profession that is vital to the well-being of our clients.

You will provide strategic advice and legal counsel to Cetera’s business. You will provide actionable, proactive, practical, and sound legal advice to your business and compliance colleagues.     

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  Research, prepare and deliver high-quality and timely legal advice to internal business partners and senior management

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  Draft and negotiate complex documents for bespoke arrangements with advisors, financial institutions and clients.

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  Support corporate governance and finance activities

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  Participating as the Legal Department representative on Cetera project teams and governance committees as assigned

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  Draft and negotiate M&A transaction documents (collaborating with outside counsel when necessary) including asset purchase agreements, stock purchase agreements, transition services agreements, letters of intent, term sheets and associated ancillary documents 

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  Work closely with treasury on financing documents including credit agreements, indentures and related documents

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  Develop and maintain current knowledge of regulatory developments

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  Other duties as assigned including human resources and employment related issues

• JD with a strong academic background

• 5-10 years of experience at a law firm and/or in-house legal department

• Demonstrated excellent oral and written communication, analytical, research, and strategic thinking skills to effectively communicate issues and recommendations at all levels of the Company

• Familiarity with, or the desire to learn, the laws, regulations, and business operations of a retail broker-dealer and investment adviser

• Ability to work independently and accept a high degree of accountability

• Ability to analyze complex matters while providing simple, actionable advice

• Team and service orientation

• Strong legal research skills

• Strong work ethic

• Sound judgment and problem-solving skills

• Strong organizational and time-management skills

• Admission to the California or New York bar, or registration as or ability to register as in-house counsel in California or New York

We offer competitive compensation packages and associated benefits.  Our health program offers a comprehensive benefits package that supports healthy lifestyles and preventative care, and helps to protect against hardship.  Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.