Executive Director, Legal & Compliance
Executive Director, Legal & Compliance
Larson Maddox
Dallas-Fort Worth Metroplex
See who Larson Maddox has hired for this role
Executive Director, Legal & Compliance
Join a dynamic and innovative Insurtech company at the forefront of revolutionizing wealth management and retirement planning solutions. We specialize in leveraging cutting-edge technology to enhance financial security and empower individuals to achieve their long-term financial goals.
Position: Executive Legal & Compliance Attorney
- Develop and implement strategic legal and compliance initiatives to ensure adherence to broker-dealer and registered investment advisor laws and regulations.
- Provide expert guidance on regulatory requirements, compliance best practices, and risk management strategies.
- Collaborate with senior management to drive business growth while maintaining a robust regulatory framework.
- Oversee the review and negotiation of contracts, agreements, and legal documents pertaining to wealth management and retirement planning services.
- Conduct comprehensive legal research and analysis to support business decisions and mitigate legal risks.
- Serve as a key advisor to senior executives on legal and compliance matters impacting the business unit.
- Manage relationships with external legal counsel and regulatory agencies as necessary.
Executive Director, Legal & Compliance: Requirements
- Juris Doctor (JD) degree from an accredited law school and active membership in good standing with at least one state bar.
- Minimum of 10 years of experience in legal and compliance roles within the financial services industry, preferably with a focus on wealth management, retirement planning, and insurance.
- Deep understanding of broker-dealer and registered investment advisor laws and regulations (e.g., SEC, FINRA, state securities laws).
- Proven track record of developing and implementing effective compliance programs and policies.
- Strong leadership skills with experience building out a regulatory function
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Seniority level
Director -
Employment type
Full-time -
Job function
Legal -
Industries
Insurance and Financial Services
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