SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

Location: New York, United States

Pay range: $213,313–$355,453 per year

Company

hirify.global is a U.S. wealth management firm supporting financial advisors and institutions through brokerage, advisory, custody, investment solutions, fintech tools, and practice management services.

What you will do

• Provide day-to-day legal advice on brokerage and investment advisory activities, regulatory compliance, and legal risks.
• Review and develop internal policies and procedures in response to business initiatives and regulatory developments.
• Conduct legal research and draft memoranda on applicable laws, rules, and regulations.
• Collaborate with Legal, Supervision, Compliance, Risk, and other business units.
• Manage a team of attorneys supporting brokerage and control-based business lines.
• Advise on M&A transactions, regulatory approvals, alternative investment due diligence, and distribution protocols.

Requirements

• At least 10 years of relevant legal experience advising the financial services industry, particularly broker-dealers and retail investment advisers.
• Expertise in the regulatory framework governing broker-dealers and investment advisers, including SEC and FINRA oversight.
• Working knowledge of federal securities laws, rulemaking processes, regulatory notices, interpretive guidance, and agency interpretations.
• Experience serving as a trusted advisor to senior leaders in complex, highly regulated environments.
• Ability to advise on emerging areas including AI-enabled advice tools, digital assets, and evolving wealth-platform regulations.
• Demonstrated ability to lead and develop high-performing teams of attorneys.

Nice to have

• Experience managing continuing membership applications with FINRA.
• Experience representing financial services firms in enforcement proceedings, court matters, SRO arbitrations, and administrative proceedings.
• Knowledge of alternative investments, including hedge funds, venture capital, private equity, public non-traded products, business development companies, and private placements.

Culture & Benefits

• Full-time position with a leadership focus on employee experience, performance, and talent development.
• 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
• Fast-paced, team-oriented environment emphasizing integrity, creativity, continuous improvement, and collaboration.
• Success goals include strengthening legal support for growth initiatives, improving regulatory strategy, and building an engaged legal team.

Hiring process

• Applicants should apply through the hirify.global application process.
• LPL communicates with applicants directly from an @lplfinancial.com email address.