SUMMARY

Sanctuary Wealth is seeking an experienced attorney with persuasive communication skills and a problem-solving mindset that thrives in a fast-paced and evolving organization. Our ideal candidate has a willingness to learn and consistently performs at a high level under variable workloads. The role requires providing advice on a variety of corporate matters. This role reports to the Chief Legal Officer and interfaces directly with our Senior Leadership Team. As a rapidly growing company, opportunities for internal growth and career development are plentiful.

ESSENTIAL DUTIES AND RESPONSIBILITIES

The ideal candidate will have the following experience and attributes:

· Background representing registered investment advisers and broker-dealers, including experience with the Investment Advisers Act of 1940 and FINRA rules and regulations

· Ability to communicate, present and influence key stakeholders at all levels of an organization

· 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 `within tight timeframes 

· 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 our company’s success while protecting its legacy and future.

To perform the job successfully, the individual must be able to perform the following essential duties:

· Provide legal, risk and regulatory advice to the Chief Legal Officer, Chief Compliance Officer, investment professionals and department leadership

· Assist the Chief Legal Officer in implementing appropriate business procedures and provide counsel concerning the Investment Advisers Act of 1940, other federal securities laws and regulations, FINRA regulations, the FCPA and the US PATRIOT Act

· Assist in overseeing corporate governance practices and procedures including supervising the maintenance of corporate records and coordinating corporate reporting

· Provide legal counsel related to contract review, drafting and negotiations; risk assessment and management; and statutory and regulatory issues

· Draft legal documents in the areas of employment, mergers and acquisitions, and other general corporate matters as required

· Assist in managing outside counsel in the areas of litigation, commercial disputes, arbitrations and corporate matters

· Provide internal constituents with legal and compliance support and work with policies and procedures to identify potential legal issues.

· Conduct legal research and writing related to securities, corporate, and employment topics

· Review and advise on third-party agreements and maintain a database of material terms for all agreements 

· Develop and implement legal strategy regarding workflows, processes, templates and best practices to adapt to our rapidly growing business

QUALIFICATIONS

· Juris Doctorate (J.D.) from an accredited institution and must be admitted to practice law in at least one U.S. jurisdiction

· 5-7+ years of experience at a law firm and/or in-house at a financial services company 

· Financial industry, investment adviser and/or FINRA experience required

· Compliance background a plus