Counsel

Responsibilities

• Advise on matters pertaining to the Investment Advisers Act of 1940 ("Advisers Act"), including registration requirements, disclosure obligations, and fiduciary duties;
• Advise on matters concerning the Securities Exchange Act of 1934 ("Exchange Act"), such as Regulation Best Interest, reporting and disclosure obligations, trading regulations, and corporate governance requirements;
• Advise on compliance with Financial Industry Regulatory Authority (FINRA) rules and regulations, including broker-dealer conduct, advertising, and recordkeeping requirements;
• Monitor, research, review, and analyze new state and federal laws and regulations impacting Empower's broker-dealer and investment advisory business;
• Partner with Empower business groups and leaders to identify and address legal issues, including product development, sales, operations, client service, call center, marketing and education teams;
• Support the negotiation of Empower contractual arrangements with plan sponsors and individual clients related to brokerage and/or advisory services;
• Provide legal counsel on corporate governance matters related to the Advisers Act, Exchange Act, and FINRA rules;
• Advise on legal and regulatory issues related to stock plan services, including equity compensation plan administration, participant-facing brokerage and advisory service considerations, disclosures, client agreements, operations, and related product or service initiatives;
• Advise on political contributions, pay-to-play, and political law compliance matters, including related policies, monitoring, disclosures, public sector client considerations, and applicable federal, state, and local requirements; and
• Interact with representatives from the FINRA, SEC, and state regulatory agencies and assist with responses to various regulatory inquiries.
• The position requires the following skills and expertise :
• Ability to efficiently identify and analyze the legal aspects of a business problem and provide practical, actionable legal advice;
• Willingness to engage and build relationships with business clients at all levels of seniority as a trusted legal partner;
• Ability to communicate complex legal concepts clearly and efficiently verbally and in writing to non-lawyers and provide risk-based compliance approaches;
• Abilit

Benefits

Additional Information

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. Empower is transforming how Americans experience wealth, bridging workplace retirement and personal wealth products and services to deliver more holistic, accessible financial solutions. Empower is seeking a Counsel to join the Advisory & Broker-Dealer legal team, which provides legal advice and guidance to Empower and its affiliated companies. The Advisory & Broker-Dealer legal team handles a broad range of complex legal matters relating to Empower's full-service recordkeeping and administration of corporate, not-for-profit and governmental defined contribution and defined benefit employee benefit plans and Empower's retail product and service offerings, including IRAs, brokerage accounts, and managed accounts advisory services under the "Empower Personal Wealth" brand. Empower is seeking a Counsel to join the Advisory & Broker-Dealer legal team, which provides legal advice and guidance to Empower and its affiliated companies. The Advisory & Broker-Dealer legal team handles a broad range of complex legal matters relating to Empower's full-service recordkeeping and administration of corporate, not-for-profit and governmental defined contribution and defined benefit employee benefit plans and Empower's retail product and service offerings, including IRAs, brokerage accounts, and managed accounts advisory services under the "Empower Personal Wealth" brand.

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at empower? Share your experience