Description:

About Us:
Falcon Wealth Planning is a fast-growing, fee-only fiduciary Registered Investment Advisor (RIA) serving clients nationwide. We specialize in comprehensive financial planning, wealth management, and tax-focused strategies. Due to rapid expansion, we are seeking an experienced General Counsel with a strong background in the financial industry, RIA/wealth management, and highly regulated environments.

Position Overview:
The General Counsel will be the firm's primary legal advisor and will oversee all legal, regulatory, risk, and contractual matters across the organization. This role partners closely with executive leadership and requires strong experience with laws impacting RIAs, financial services, and employment practices. California residency is required.

Responsibilities:

Provide legal guidance to executives, managers, and department leaders.
Advise on SEC regulations, RIA rules, fiduciary standards, marketing rules, ERISA, and state securities laws.
Support Compliance leadership with regulatory exams, audits, and filings.
Draft, review, and negotiate contracts, advisory agreements, vendor agreements, NDAs, and firm policies.
Advise on corporate governance, risk management, privacy, and cybersecurity issues.
Oversee legal aspects of firm expansion into new states and markets.
Provide counsel on California and multi-state employment law, employee relations, investigations, and HR policies.
Manage external counsel when needed for litigation or specialized matters.

Requirements:

Juris Doctor (JD) from an accredited law school.
Active California Bar license (required).
5–8+ years of legal experience in financial services, wealth management, or RIA environments.
Strong knowledge of SEC regulations, fiduciary standards, ERISA, and securities laws.
Experience in highly regulated industries, especially SEC-registered RIAs.
Excellent contract drafting, analysis, negotiation, and communication skills.
Ability to work directly with senior leadership and handle confidential matters.
Organized, detail-oriented, and able to operate in a fast-growing, dynamic firm.

Preferred:

In-house counsel experience at an RIA or wealth management firm.
Experience handling regulatory exams and interacting with state/SEC regulators.
Strong understanding of financial planning, investment advisory operations, and client service standards.

Compensation & Benefits: