General Counsel

Succession Resource Group is a boutique succession planning consulting firm dedicated to helping financial advisors and other small business owners value, grow, protect, and plan for the transition of their business. We provide the most accurate and comprehensive valuation services, turnkey acquisition support, assistance with contingency plans, and personalized succession/exit strategies to clients across the country. We are a young and fast-growing company, dedicated to our craft and focused on providing customized solutions, exceptional customer service, and high quality products to our clients.

Description

Key Responsibilities

• Market Research and Analysis:
  • Conduct market research to identify trends, opportunities, and potential competitors.
  • Analyze market data to understand customer needs and preferences.
• Legal Compliance:
  • Stay abreast of changes in corporate and securities laws and regulations.
  • Develop and implement compliance programs to ensure adherence to relevant laws.
  • Stay updated on industry developments and market conditions.
  • Stay informed about regulatory developments affecting the securities industry.
  • Provide guidance on regulatory requirements related to corporate law, securities transactions, disclosures, and reporting.
• Risk Management:
  • Identify and assess legal risks associated with business activities.
  • Develop and implement risk mitigation strategies.
  • Advise on legal aspects of services and advice provided by project teams.
• Client Relationship Management:
  • Understand client needs and develop tailored solutions through project teams.
  • Address client objections and concerns through customization of agreements.
  • Work with clients on enterprise-level engagements, as needed.
• Team Collaboration:
  • Build and maintain strong relationships with project teams.
  • Provide feedback to enhance service offerings.
• Corporate Governance:
  • Oversee corporate governance practices and policies.
  • Advise on best practices for maintaining effective governance structures.
• Contract Review and Negotiation:
  • Review contracts with a focus on corporate and securities-related agreements.
  • Ensure contracts comply with applicable laws and regulations.
  • Provide legal guidance to the project teams and management.
• Litigation Management:
  • Manage and oversee any legal disputes or litigation involving the organization.
  • Work with external counsel when necessary.
  • Develop strategies to minimize legal exposure.
• Training and Education:
  • Conduct training programs for employees on legal and regulatory matters.
  • Ensure staff awareness of compliance obligations and ethical considerations.
• Ethical Standards:
  • Promote and enforce ethical standards within the organization.
  • Provide guidance on ethical considerations in business decisions.
• Speaking:
  • Present at tradeshow / partner events
  • Present at internally-hosted / external-hosted client webinars

Qualifications

• Juris Doctor (JD) degree and active membership in the bar.
• Extensive experience (typically 10+ years) in securities law, preferably in a legal role within the financial industry.
• In-depth knowledge of securities laws and regulations.
• Strong analytical, communication, and leadership skills.

• Adaptability and the ability to thrive in a dynamic and changing business environment.
• Problem-solving skills and a results-oriented mindset.
• A strong understanding of securities law and regulations, as well as corporate law matters.
• Strong verbal and written communication.