Description:

An SEC-Registered Investment Adviser Located in San Mateo, California is looking for a Legal Counsel, ERISA Fiduciary Services to join the Legal & Compliance team.

What will you be working on?
We are looking for a highly motivated, experienced, and collaborative attorney to serve as Legal Counsel, ERISA Fiduciary Services. You will serve as a leader and subject matter expert with respect to ERISA fiduciary and various contract matters in a dynamic and energetic start-up environment. You will have the opportunity to collaborate across the company, including with An SEC-Registered Investment Adviser Located in San Mateo, California's Product team, to facilitate thoughtful and practical solutions with respect to fiduciary and contracting standards as they relate to An SEC-Registered Investment Adviser Located in San Mateo, California and its customer and partner base. The ideal candidate will have prior experience with ERISA fiduciary concerns and QDROs, as well as contract drafting and negotiation experience.

Responsibilities:

Provide guidance around ERISA fiduciary issues as they relate to An SEC-Registered Investment Adviser Located in San Mateo, California's products and services;
Provide legal support to An SEC-Registered Investment Adviser Located in San Mateo, California, including assisting in the review, drafting and negotiation of contract documentation such as client service agreements, non-disclosure agreements, and other commercial agreements;
Review of communications between An SEC-Registered Investment Adviser Located in San Mateo, California and its customers and partners;
Qualify domestic relations orders (QDROs);
Assist with incident management;
Serve as a member of the Legal and Compliance team, aiding programmatic management of client documentation and product with company policy and regulatory requirements;
Consult with An SEC-Registered Investment Adviser Located in San Mateo, California's Product team on business initiatives and priorities and appropriately manage relationships;
Interact with custodial bank regarding 401(k) plan matters and money movement;
Work with internal and external parties to bring contracts to closure in a timely manner while providing suitable contractual protections for An SEC-Registered Investment Adviser Located in San Mateo, California;
Stay abreast of relevant DOL/IRS regulations, particularly relating to 401(k), IRAs and HSAs.

The team:
You will be a key member of An SEC-Registered Investment Adviser Located in San Mateo, California's Legal and Compliance team, which is composed of creative and collaborative compliance professionals and attorneys. This team serves as a strategic advisor to An SEC-Registered Investment Adviser Located in San Mateo, California's business units, ensuring products and services are developed in compliance with legal and regulatory requirements, managing risk, monitoring compliance, and facilitating solutions to complex legal and regulatory issues. This role reports to the Associate General Counsel.

Required Qualifications:

Bachelor's Degree; Juris Doctorate Degree from an accredited law school; Must have been admitted to and be a member in good standing of a state bar
Minimum of 5 years of experience with demonstrated subject matter expertise in the retirement services industry either in-house or at a law firm;
ERISA experience with regard to fiduciary issues;
Excellent contract drafting and legal negotiation skills with extensive experience consulting with business partners;
Experience with custodian banks is preferred;
Strong verbal and written communication skills, with the ability to distill complex subject matters into terms readily understood by team members of all levels of expertise;
Proven ability to work well independently, as part of team, and cross-functionally;
Exceptional organizational and analytical skills;
Ability to think strategically; and
Collaborative, positive, and pragmatic.