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General Counsel

Allworth Financial
Posted Feb 18
Sacramento, California

Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, Registered Investment Advisory business, headquartered in Sacramento, CA. The business is a $10 billion firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth Financial was recognized as a Barron's Top 100 RIA in 2020.

SUMMARY

This General Counsel position is an opportunity for an individual that has extensive experience in providing legal counsel and guidance to senior management and board of directors on all company legal matters including company acquisitions, corporate contracts, personnel law, corporate governance, and SEC, FINRA, and consumer privacy regulatory matters.

DUTIES AND RESPONSIBILITIES

  • Leads acquisition transactions, including transaction structuring, legal due diligence, and coordinating closings. Negotiates and drafts:
    • confidentiality agreements
    • letters of intent
    • transaction documents
    • employment and restrictive covenant agreements
  • Counsel business leaders on any structural concerns, legal and regulatory matters and general business and legal risks of potential acquisitions.
  • Works collaboratively with internal finance, accounting, tax, HR, compliance, technology, and operations teams on all aspects of a transaction.
  • Supports compliance team with SEC, FINRA, privacy legal guidance as needed.
  • Reviews contracts, real-estate leases, and other legal documents. Researches legal issues and recommends revisions as necessary.
  • Works closely with Human Resources on a broad range of employment matters, including employee relations and terminations.
  • Selects, retains and works with outside counsel, as needed.

QUALIFICATIONS

  • Juris Doctorate from an American Bar Association accredited law school.
  • Member in good standing in at least one state in the US.
  • 5+ years relevant experience working with private equity transactions, private company acquisitions, and SEC and FINRA regulations.
  • Have an understanding of the market for deal terms and ability to think strategically about deal positioning and execution.
  • Highly motivated, self-starter with demonstrated ability to deliver results within time constraints.
  • Demonstrated ability to establish and maintain credibility with both external partners and internal stakeholders at all levels of the Company.
  • Demonstrated ability to contribute to a high performance culture through effective communication, leadership and a consensus-building approach with those at all levels and functions of the Company.
  • Demonstrated exceptional oral and written communication and presentation skills which highlight an ability to effectively reach a diverse audience at multiple levels within the Company and through various formats (i.e., teleconferences, face-to-face meetings, presentations, written proposals, reports and correspondence).

BENEFITS

We value our associates' time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package including flexible work arrangements, paid time off, medical and other insurances, Retirement Benefit – 401K and future growth opportunities within the company. Plus, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm. We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. Typical reporting relationships are described, but actual relationships may vary in some instances. This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.

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