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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in legal advisory for wealth management, including drafting and negotiating complex agreements, managing high-value transactions, and providing strategic legal guidance. Possesses strong communication skills and the ability to build relationships across legal and business teams while navigating regulatory landscapes.
Highest-signal resume keywords
Juris Doctor (JD)Active Bar Membership5+ Years Legal ExperienceDrafting And Negotiation ExpertiseWealth Management Legal Support
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Complex Transactional ArrangementsAsset Purchase AgreementsLoan AgreementsPromissory NotesRestrictive Covenant MattersHigh-Value Transactions ManagementLegal Risk AssessmentBusiness-Focused SolutionsRegulatory ComplianceDeal Structuring
Soft Skills
Exceptional Business JudgmentStrong Executive PresenceRelationship BuildingCommunication SkillsAbility To Manage Multiple Priorities
Certifications & Qualifications
Active Bar Membership
Industry Keywords
Wealth ManagementBroker-DealersRegistered Investment Advisors (RIAs)Financial Advisor PlatformsFinancial ServicesAcquisitionsAdvisor RecruitmentOnboardingComplianceLitigation
About the role
Key responsibilities & impact- Serve as the lead legal advisor to Equitable's Wealth Management business
- Partner with leadership on strategic growth initiatives, advisor recruitment transactions, and acquisitions of books of business
- Structure, draft, and negotiate complex transactional arrangements
- Prepare and negotiate Asset Purchase Agreements, Asset Retention Agreements, Loan Agreements, Promissory Notes, recruiting and transition agreements, and related documentation
- Provide legal guidance for recruitment and onboarding of experienced financial professionals and advisor groups
- Support acquisitions of books of business by Equitable and existing Equitable financial professionals
- Advise on restrictive covenant matters, including non-solicitation, non-compete, and transition-related provisions
- Review and provide guidance on financial professional candidate applications, hiring agreements, and onboarding documentation
- Lead engagements with outside counsel and manage complex legal matters, including debt recovery and enforcement actions
- Partner with Compliance, Litigation, Risk, and business leaders on regulatory, operational, and transactional considerations
- Identify legal and regulatory risks and deliver practical, business-focused solutions
- Develop and refine scalable legal processes to enhance efficiency and support the evolving Wealth Management business
Requirements
What you’ll need- Juris Doctor (JD) from an accredited law school
- Active bar membership in good standing
- 5+ years of legal experience in a law firm and/or in-house legal environment
- Significant experience supporting wealth management firms, broker-dealers, RIAs, or financial advisor platforms
- Experience advising business leaders on complex transactional, commercial, and strategic matters
- Strong drafting, negotiation, and deal-structuring expertise
- Experience managing sophisticated agreements and high-value transactions
- Experience advising on restrictive covenant matters, including non-solicitation, non-compete, and advisor transition arrangements
- Exceptional business judgment and ability to balance legal risk with business objectives
- Ability to manage multiple priorities, stakeholders, and transactions in a dynamic, fast-paced environment
- Strong executive presence and communication skills
- Ability to build trusted relationships across legal, compliance, and business teams
- Preferred: In-house legal experience within a financial services, wealth management, broker-dealer, or RIA organization
- Preferred: Experience supporting financial advisor recruiting, onboarding, succession planning, or acquisitions of books of business
- Preferred: Familiarity with the legal and regulatory landscape impacting financial professionals and advisory businesses
- Preferred: Experience partnering with senior executives on strategic initiatives, growth opportunities, and business transformation efforts
Benefits
Comp & perks- Base salary increases
- Spot bonuses
- Short-term incentive compensation opportunities
- Medical insurance
- Dental insurance
- Vision insurance
- 401(k) plan
- Paid time off
- Growth opportunities
- Internal mobility
- Comprehensive compensation and benefits
- Flexibility
- Culture of collaboration and teamwork