Description:
Job Summary:The Associate Director of Legal plays a critical role in supporting a fast-growing financial services organization by delivering practical, business-focused legal guidance across a wide range of initiatives. Reporting to Legal and Risk Leadership, this individual partners closely with internal stakeholders to manage complex legal matters, including contract drafting and negotiation, regulatory analysis, and advisory support tied to strategic business activities such as M&A, vendor oversight, and risk mitigation.
This role is ideal for a proactive attorney who thrives in a dynamic environment and is energized by balancing day-to-day legal needs with longer-term strategic priorities. With the firm experiencing significant growth in both revenue and regulatory complexity, the Associate Director of Legal will help scale the legal function, protect the organization, and enable continued expansion.
Key Deliverables and Responsibilities
What we are looking for:
The ideal candidate is a collaborative and business-minded attorney who brings strong analytical skills, sound judgment, and a solutions-oriented approach to legal challenges. They are comfortable navigating ambiguity, managing competing priorities, and translating complex regulatory requirements into actionable guidance for non-legal partners. With experience in financial services, securities law, or a similarly regulated environment, they are adept at contract work, regulatory research, and cross-functional collaboration.
This individual is curious, adaptable, and motivated to grow with an evolving organization—someone who sees legal as a strategic enabler rather than a gatekeeper. They communicate with clarity and confidence, build trusted relationships across the business, and take ownership of their work while contributing to a high-performing, team-oriented legal function.
Certifications:
Salary Range: $90,000 - $110,000. The salary range provided is a good faith estimate based on the ideal candidate's qualifications, the company's operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.
- Provide research and analysis with respect to issues or problems assigned by department management
- Reviewing and drafting contracts applicable to the Company's business
- Perform in-depth research, analysis and monitoring of federal and state laws, rules and regulations, within both the securities and the investment advisory area, and assist in ensuring operations are working within the scope of said laws, rules and regulations
- Accurately communicate questions and concerns from financial professionals to senior management and appropriate home office personnel, assisting with any matter presented for consideration
- Coordinate with senior management and the Compliance department on arbitration and mediation issues
- Interface within the company in a professional and courteous manner to achieve the Company's common goals and ensure communication of those goals and statuses to all necessary parties
What we are looking for:
The ideal candidate is a collaborative and business-minded attorney who brings strong analytical skills, sound judgment, and a solutions-oriented approach to legal challenges. They are comfortable navigating ambiguity, managing competing priorities, and translating complex regulatory requirements into actionable guidance for non-legal partners. With experience in financial services, securities law, or a similarly regulated environment, they are adept at contract work, regulatory research, and cross-functional collaboration.
This individual is curious, adaptable, and motivated to grow with an evolving organization—someone who sees legal as a strategic enabler rather than a gatekeeper. They communicate with clarity and confidence, build trusted relationships across the business, and take ownership of their work while contributing to a high-performing, team-oriented legal function.
Certifications:
- License in good standing with the Iowa Bar.
- Juris Doctorate from an ABA Accredited Law School
- Financial Industry Regulatory Authority (FINRA) Series 7 and Series 24 or 66 required within 18 months of hire.
Salary Range: $90,000 - $110,000. The salary range provided is a good faith estimate based on the ideal candidate's qualifications, the company's operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.
