In - House Attorney

Sanctuary Wealth is seeking a talented and experienced attorney with persuasive communication skills and a problem-solving mindset that thrives in a fast-paced and evolving organization. The ideal candidate has a willingness to learn and consistently performs at a high level under variable workloads. This role requires providing legal support and advice on a wide range of corporate and financial services matters and ensuring compliance with relevant laws and regulations. 

This position reports to the Chief Legal Officer and serves as a key member of the legal team, playing a crucial role in shaping and overseeing the company’s legal strategies and operations and interfacing directly with the company’s Senior Leadership Team. As a rapidly growing company, committed to innovation, customer satisfaction and ethical practices, opportunities for internal growth and career development are plentiful. This position is remote based.

RESPONSIBILITIES: This role will be accountable to:

• Provide legal, risk, and regulatory advice and counsel to senior leadership, investment professionals and department directors and managers.
• Assist the Chief Legal Officer in implementing appropriate business procedures and provide counsel related to SEC regulations, including the Investment Advisers Act of 1940, federal and state securities laws and regulations, FINRA and DOL regulations, privacy laws and other regulatory and industry policies and procedures.
• Provide legal counsel related to contract review, drafting and negotiations; risk assessment and management to ensure all contracts and agreements comply with relevant laws and regulations.
• Review, draft, and negotiate diverse types of contracts and agreements, including non-disclosure agreements, software and other technology contracts, product sponsor agreements, leases, service agreements, vendor contracts, employment agreements and internal agreements between company and its advisors and maintain legal database related to same.
• Maintain a contract management database of material terms and tracking for all agreements.
• Assist in overseeing corporate governance practices and procedures including supervising the maintenance of corporate records and coordinating corporate reporting.
• Provide legal counsel and conduct due diligence and risk analysis on mergers, acquisitions, and other complex transactions.
• Assist in managing outside counsel in the areas of litigation, regulatory, arbitrations, contracts, disputes and other corporate matters.
• Provide internal constituents and partner firms with legal and compliance support and assist in the development and implementation of company policies and procedures to identify potential legal issues. 
• Collaborate with internal stakeholders, including compliance, operations, recruiting, human resources, finance, and business teams, to address legal issues and provide solutions.
• Develop and implement legal strategy regarding workflows, processes, templates, and best practices to adapt to the company’s rapidly growing business.
• Conduct research, analysis and other assistance on various legal topics and corporate projects to support decision-making and problem-solving.
• Monitor changes in laws and regulations that may impact the company's financial services and operations.
• Perform other duties as assigned.

The ideal candidate will possess the following competencies and attributes:

• Minimum of 4+ years of experience at a law firm and/or in-house at a financial services company.
• Financial industry, investment adviser, and/or FINRA or SEC experience required.
• Compliance background a plus.
• Ability to communicate, present, and influence key stakeholders at all levels of the company.
• Strong interpersonal skills and an innate ability to build immediate rapport with executive team members and corporate personnel.
• History of collaborating with cross-functional teams and advising financial services professionals.
• Ability to manage and prioritize multiple projects and tasks simultaneously and within tight timeframes.
• Ability to drive continuous improvement, scalability, and operational excellence in deal execution.
• Proven ability to approach legal matters with a sense of pragmatism and flexibility to recommend solutions that enable the company’s success while protecting its legacy and future.
• Unimpeachable ethical standards, with an innate ability to build trust.
• Self-motivator, problem-solver with excellent communication skills and demonstrated ability to oversee multiple projects simultaneously, both independently and in a team environment.
• Ability to manage deadlines and handle conflicts with diplomacy.
• Strong organizational, drafting, and analytical skills to manage complex transactions efficiently.
• Maturity and dependability to work productively and independently.
• Juris Doctorate (J.D.) from an accredited institution and must be admitted to practice law in at least one U.S. jurisdiction.