Associate General Counsel

The Associate General Counsel will join a legal team of highly experienced lawyers who have corporate, litigation, broker‑dealer, and investment advisory practice backgrounds. This position offers an excellent opportunity for long‑term professional growth and development of a sophisticated and rewarding legal practice supporting the retail investment advice profession that is vital to the well‑being of our clients.

This position reports to the Deputy General Counsel and is located in El Segundo, California.

What you will do :

The Associate General Counsel will serve as a senior legal advisor within the legal department, providing strategic legal support to both the Registered Investment Advisory (RIA) and Broker‑Dealer arms of the firm. This role requires deep expertise in securities law, investment advisory regulations, and broker‑dealer compliance frameworks. The successful candidate will collaborate closely with business leaders, compliance, risk, and operations teams to ensure legal and regulatory alignment across all business activities.

Your responsibilities will include :

• Provide legal counsel on matters related to investment advisory services, brokerage operations, and financial product distribution.
• Advise senior leadership on regulatory developments, risk mitigation strategies, and legal implications of business initiatives.

Legal support to various departments including drafting and negotiation of documentation, research and legal advice (business, finance, accounting, tax, compliance, operations and supervision).

What you need to have :

What will really catch our eye :

Compensation :

The salary range for this role is $230,000 – $260,000 plus competitive performance‑based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.

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About Us

What we give you in return :

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full‑time roles, a benefits package including :

Cetera Financial Group ® "Cetera" is a leading network of independent retail broker‑dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions‑based advisors the benefits of a large, established broker‑dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award‑winning wealth management and advisory platforms, comprehensive broker‑dealer and registered investment adviser services, practice management support and innovative technology.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and / or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and / or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and / or federal law.

Agencies please note this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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