Senior Associate General Counsel, LRC

Ascensus is the leading independent technology and service platform powering savings plans across America.

The Senior Associate General Counsel will support multiple business lines within Ascensus, primarily focusing on retirement plans. Key responsibilities include acting as the principal legal counsel in asset management and federal securities laws, advising on disclosure, regulatory, compliance, and enforcement matters under SEC rules and FINRA regulation. The candidate must also demonstrate experience in handling enforcement matters and dispute resolution for firms and individual investors.

This is a full‑time exempt position.

• Strong working knowledge of the Investment Advisers Act of 1940, including Advisor Rules, operations and investment compliance and legal risk management.
• Experience with complex financial instruments and strategies, including mutual funds and other investment vehicles, oversight of a broker‑dealer, advisors and sub‑advisors, monitoring of fund disclosures and operations, and compliance with fiduciary duties.
• Experience with ERISA regulations and various private‑sector employer‑sponsored plans.
• Strong background in wealth management, fiduciary duties, and the ability to draft, negotiate, review, and interpret various contracts and other legal documents.
• Stay up to date with industry regulations, standards, and best practices, including oversight of investment recommendations.
• Handle day‑to‑day legal issues arising in a growing and complex business.

• Provide practical advice to business leaders.
• Think and act strategically.
• Communicate effectively.
• Exhibit adaptability and lead change.
• Think creatively, solve problems effectively, and act decisively.
• Work effectively independently with minimal instruction, and as part of a team with willingness and desire to collaborate.
• Be organized, proactive, and entrepreneurial, and multitask and prioritize while producing high‑quality, on‑time work.

• Juris Doctorate from an accredited U.S. law school with at least 15 years of experience.
• Licensed to practice law in at least one state and in good standing.
• Law firm (preferably transactional practice) and in‑house experience is a plus.
• Desire to work in a fast‑paced and demanding environment.
• For all virtual remote positions, requires an uninterrupted virtual workspace; family care must be in place during business hours.
• Internet work speed requirement of at least 25
  
  Mbps for individual use; multi‑person household may require a stronger connection.

• 401(k) match.
• Medical, dental, and vision.
• Paid‑time‑off.
• Health Savings Account with employer contribution up to $1,100.
• 401(k) and 529 college savings match programs.
• Volunteer and charitable‑giving programs.
• Business casual dress.

We are proud to be an Equal Opportunity Employer.

The national average salary range for this role is $140-205K base pay, exclusive of any bonuses and benefits.