Associate General Counsel – Personal Wealth Products

Job not on LinkedIn

🔥 29 minutes ago

🇺🇸 United States – Remote

💵 $183.6k - $266.3k / year

⏰ Full Time

🟠 Senior

🔴 Lead

⚖️ Legal Counsel / General Counsel

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Empower

WebsiteLinkedInAll Job Openings

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

Finance • Fintech • B2C

Empower is a leading provider of financial services focused on helping individuals and organizations achieve financial freedom through retirement planning and investment management. Serving over 19 million Americans, Empower offers a comprehensive suite of finance-related services, including smart planning and investment advice, and tools like the Empower Personal Dashboard™ for a complete financial view. The company is renowned as a top retirement plan provider and works closely with personal investors, workplace plan savers, plan sponsors, and financial professionals. Empower is also recognized for initiatives in Diversity, Equity, Inclusion, and has a social commitment that bolsters community impact.

📋 Description

• Serve as lead counsel to the Personal Wealth product organization, advising on the design, development, implementation and distribution of innovative wealth offerings • Partner with product, compliance, risk and business leaders from concept through launch • Coordinate across Empower’s broader legal team to deliver aligned, consistent, business-oriented guidance • Navigate the Investment Advisers Act, the Exchange Act, SEC and FINRA rules, ERISA/DOL fiduciary standards, and state laws and regulations • Advise on product structures and distribution across direct-to-consumer and advisor-led channels • Provide guidance on SEC and ERISA fiduciary obligations, Reg BI, conflicts of interest management, and client disclosures • Help shape Empower’s approach to responsible use of artificial intelligence and data-driven technologies in wealth products • Support product governance, regulatory filings and client-facing materials • Advise on third-party partnerships and evolving fintech capabilities • Monitor regulatory and industry developments and translate them into practical guidance • Shape products serving millions of retirement plan participants and personal wealth clients • Partner directly with senior product and business leaders to shape product direction

🎯 Requirements

• J.D. and active bar membership • 15+ years of experience advising retail wealth management businesses (RIA, broker-dealer, or hybrid) • Strong knowledge of wealth management legal and regulatory frameworks, including deep familiarity with SEC, FINRA, and state regulatory regimes related to duties of care, disclosure, and conflicts of interest • Exposure to emerging wealth products including direct indexing, alternatives, and retirement income strategies • Experience supporting product strategy, development and launch, ideally in a fast-paced or technology-enabled environment • Sound judgment and ability to balance legal and regulatory risk with business objectives • Comfort operating in evolving or ambiguous regulatory environments • Senior individual contributor experience with strong cross-functional influence • Executive presence and ability to communicate practical legal guidance clearly to senior business, product and legal stakeholders • Preferred: experience at integrated retirement/wealth service providers, asset managers, RIAs, broker-dealers, fintech platforms, or other scaled financial services firms • Preferred: familiarity or experience in retirement/ERISA frameworks • Preferred: familiarity with digital platforms, data-driven personalization, or fintech partnerships • Preferred: experience advising on distribution across retirement, direct-to-consumer, and advisor-led channels • Preferred: experience with product governance committees, disclosure/conflicts governance, and regulatory examinations • Preferred: familiarity with emerging retail products such as cryptocurrencies, stablecoins and prediction markets • Must be authorized to work for any employer in the U.S.; employer cannot sponsor or take over sponsorship of an employment visa, including CPT/OPT • Reliable high-speed internet with a wired connection and a suitable home workspace required for remote work

🏖️ Benefits

• Medical, dental, vision and life insurance • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup • Tuition reimbursement up to $5,250/year • Business-casual environment that includes the option to wear jeans • Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year • Paid volunteer time — 16 hours per calendar year • Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA) • Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all. • Bonus program opportunity for non-sales positions • Reliable high-speed internet and a wired connection required for remote work • Other necessary computer equipment provided