General Counsel

Position Title: General Counsel

Location: Tucson, AZ

Reports to: Chief Executive Officer

Position Type: Full-Time

Company Overview

Secure Investment Management is a dynamic and growing leader in the financial services industry, providing a unique, integrated approach to wealth management. As both a premier insurance agency and a Registered Investment Adviser (RIA), we offer our clients comprehensive solutions that span risk management, investment strategy, and long-term financial planning. Our commitment to integrity, client success, and regulatory excellence is the foundation of our business. We are seeking a dedicated and experienced General Counsel to join our senior leadership team and help guide our continued growth.

The Opportunity

We are looking for a seasoned and proactive General Counsel to build and lead our in-house legal function. This is a critical leadership role responsible for overseeing all legal, regulatory, and corporate governance matters for the firm. The ideal candidate will be a strategic business partner to the executive team, providing pragmatic legal advice that mitigates risk while enabling business objectives. You will be instrumental in navigating the complex regulatory landscapes of both the insurance and securities industries.

Key Responsibilities

1. Legal & Regulatory Guidance:

• Serve as the primary legal advisor to the CEO, board of directors, and senior management on all legal matters affecting the company.
• Provide expert counsel on regulations governed by the SEC, FINRA, state securities divisions, and state departments of insurance.
• Ensure compliance with the Investment Advisers Act of 1940, state insurance codes, and other relevant federal and state laws.
• Monitor and analyze new legislation and regulations that may impact the company’s operations and strategic initiatives.
• Advise on matters related to corporate governance, fiduciary duties, and employment law.

2. Collaboration with Compliance:

• Work in close partnership with the Chief Compliance Officer (CCO) to develop, implement, and maintain a robust compliance program.
• Provide legal interpretation and guidance on the firm’s compliance policies and procedures, including the Code of Ethics, advertising rules, and privacy policies.
• Assist the compliance team in preparing and reviewing regulatory filings, including the Form ADV.
• Provide legal support during regulatory examinations, inquiries, and internal audits.

3. Contract Management:

• Draft, review, and negotiate a wide variety of commercial agreements, including but not limited to:
• Client advisory and insurance agreements.
• Vendor, software (SaaS), and technology contracts.
• Partnership and producer agreements.
• Non-disclosure agreements (NDAs) and confidentiality agreements.
• Other operational contracts.
• Develop and manage a centralized contract management system to organize, track, and ensure compliance with all contractual obligations.

4. Litigation and Risk Management:

• Manage and oversee all disputes, litigation, and pre-litigation matters, representing the company's best interests.
• Proactively identify legal risks across the organization and develop effective mitigation strategies.
• Manage the company's relationship with its errors and omissions (E&O) and other insurance carriers.

5. Outside Counsel Management:

• Strategically select, onboard, and manage all outside counsel relationships.
• Define the scope of work, negotiate fees, and manage legal budgets to ensure cost-effective, high-quality legal services.
• Act as the primary liaison between the company and external law firms.

Qualifications & Requirements

• Juris Doctor (J.D.) from an ABA-accredited law school.
• Member in good standing of at least one state bar, with the ability to become authorized to practice in Arizona.
• A minimum of 5 years of relevant legal experience, preferably with a combination of law firm and in-house counsel roles.
• Direct experience with the Investment Advisers Act of 1940 and SEC/state regulations governing RIAs is essential.
• Strong working knowledge of state insurance laws and the regulatory framework for insurance agencies and producers.
• Proven experience in drafting, negotiating, and managing a decent volume of commercial contracts.
• Experience advising on corporate governance, employment law, and data privacy issues.
• Excellent business judgment with the ability to provide practical, solutions-oriented legal advice.
• Superior written and verbal communication skills, with the ability to clearly and concisely explain complex legal concepts to non-legal stakeholders.
• High level of integrity, professionalism, and ethical standards.

What We Offer

• Comprehensive benefits package including medical, dental, vision, and life insurance.
• 401(k) plan with a generous company match.
• Paid time off and company holidays.
• The opportunity to build a legal department and make a significant impact on a growing company.
• A collaborative, professional, and client-focused work environment.

Secure Investment Management is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Job Type: Full-time

Pay: $120,000.00 - $200,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off
• Relocation assistance
• Vision insurance

Ability to Commute:

• Tucson, AZ 85741 (Required)

Ability to Relocate:

• Tucson, AZ 85741: Relocate with an employer provided relocation package (Required)

Work Location: In person