General Counsel

Moneta is an independent Registered Investment Advisor (RIA) wholly focused on going further for our clients. We are one firm with many solutions and we provide a full spectrum of financial advisory services, but our true purpose is centered on building relationships and providing exceptional service to our clients around the globe.The position of General Counsel of Moneta and is responsible for providing a range of legal advice in the areas of broker-dealer and investment adviser, compliance, including drafting and reviewing policies and procedures; assisting with regulatory responses; assisting with client responses; managing, assessing and reporting on litigation; and providing counsel on a variety of other general corporate matters as assigned.It is crucial that the candidate have the ability to partner with teams within the firm to provide advice around emerging and ongoing initiatives and in response to changing regulatory environments. The successful candidate must demonstrate initiative and have the ability to innovate and add value in a dynamic litigation and regulatory environment. The position reports to the President & COO of the organization.

Lead the company to respond to regulatory examinations and inquiries; interact with regulatory agencies in the resolution of alleged compliance deficienciesMaintains a high degree of knowledge in the RIA environment including SEC and state investment advisory rules and regulationsOversees annual reporting including but not limited to the SEC’s ADV, Assets Under Management (AUM) calculations, RFP responses, etc.Provide legal counsel on matters related to the broker-dealer, registered investment adviser and insurance agency activities of the company; counsel the company on compliance risk and mitigation efforts.Draft, review and revise institutional and client contracts related to the broker-dealer, investment advisor and insurance activities of the company and its subsidiaries (selling agreements, marketing agreements, registered representative agreements, promissory notes and loans, investment adviser agent agreements, customer agreements, technology agreements among others)Manage, assess and report on litigation and arbitration claims to which the company, its affiliates and financial advisors become a party; tender errors and omissions claims and coordinate with insurance carriers on the defense of claims; counsel the company and coordinate with outside counsel on the assessment of contingent liabilities and reservesOversee responses to third party document requests and subpoenasManage outside counsel in driving litigation strategy.Create and/or improve existing internal litigation processes.Formulate and execute effective strategies to reduce risk throughout the firm by educating partners about pending litigation matters.Fosters an environment of open, honest, and timely communicationEnsures the vision and core values of Moneta are incorporated into the duties and responsibilities of the positionOther legal matters as assigned

Knowledge, Skills, and/or Abilities To perform this job successfully, individual should have the following skills and abilities:Ability to exercise sound, independent judgmentExcellent verbal and written communication skillsStrong attention to detailAbility to prioritize and handle multiple and varied tasks independentlyAbility to work effectively in a team environmentAbility to effectively draft written agreementsBasic office technology knowledge (Word, Outlook, Excel, etc.) Demonstrated ability to independently analyze and resolve complex matters.The ability to lead, delegate and mentor, and the desire to work well with others to achieve common goals.Requirements:Juris Doctorate with at least four years of relevant financial services experience.Securities law and regulation (FINRA rules, Securities and Exchange Act of 1934, Securities Act of 1933, Investment Advisers Act of 1940, etc.) experience required.J.D. from an ABA-accredited law school and license to practice law in Missouri or a reciprocal state.At least 5 years of progressive responsibility as a litigator in private practice, in the public sector or in an in-house counsel capacity.Advanced experience handling and managing complex civil litigation is required.Experience within financial services industry and knowledge of securities law, litigation, and FINRA arbitrations is preferred.Familiarity with regulatory issues in the securities industry, including ones involving the SEC, FINRA and state authorities will be particularly beneficial.