Counsel

🕒 2 days ago

🇺🇸 United States – Remote

💵 $125.4k - $181.9k / year

⏰ Full Time

🟢 Junior

🟡 Mid-level

⚖️ Legal Counsel / General Counsel

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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

• 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; • Interact with representatives from the FINRA, SEC, and state regulatory agencies and assist with responses to various regulatory inquiries.

🎯 Requirements

• Juris Doctor / Law Degree from an accredited law school • Current admission to at least one state bar and a license to practice law in the United States • 2 or more years of relevant legal experience • Ability to efficiently identify and analyze the legal aspects of a business problem and provide practical, actionable legal advice • Ability to communicate complex legal concepts clearly and efficiently verbally and in writing to non-lawyers and provide risk-based compliance approaches • Ability to work as a team member, both within the Empower Workplace Solutions and Empower Personal Wealth legal team and with other legal department colleagues • Ability to engage and build relationships with business clients at all levels of seniority as a trusted legal advisor

🏖️ 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.