About the General Counsel Role

Robert Half is excited to partner with a well-established financial services and wealth management company in Denver, Colorado, to find an exceptional General Counsel. This pivotal leadership position oversees all legal affairs, enterprise compliance, and risk management functions. As General Counsel, you will ensure the organization fulfills its fiduciary, regulatory, and operational obligations while proactively safeguarding against risks. Reporting directly to the CEO, you will serve as a trusted strategic advisor to the executive team, playing a central role in corporate governance, regulatory strategy, and high-level decision-making. This full-time role offers the chance to shape the legal and compliance framework of a thriving firm in the dynamic financial services sector.

In this position, you'll integrate legal expertise with business acumen to support growth initiatives, including mergers and acquisitions, while maintaining unwavering adherence to federal securities laws and investment regulations. Denver's vibrant business landscape, combined with the firm's established reputation, provides an ideal environment for a seasoned legal professional to make a lasting impact. If you have a passion for compliance in wealth management and a track record of executive leadership, this General Counsel opportunity at our client's organization via Robert Half could be your next career milestone.

Key Responsibilities

Legal Affairs

• Serve as the principal legal advisor to the CEO and executive team, providing counsel on corporate governance, fiduciary responsibilities, and enterprise risk management.
• Oversee the drafting, negotiation, management of contracts, transactions, litigation, and strategic agreements, with a focus on mergers and acquisitions (M&A).
• Direct and manage relationships with outside legal counsel, advisors, and vendors to ensure cost-effective and high-quality support.
• Proactively identify, assess, and mitigate legal risks in alignment with the company's business objectives and growth strategies.

Compliance & Regulatory Oversight

• Lead the development and continuous enhancement of the organization's enterprise-wide compliance program and internal control environment.
• Ensure full compliance with applicable federal securities laws, investment regulations, and oversee regulatory examinations and audits.
• Maintain, enforce, and update the organization's Code of Ethics, compliance policies, and procedures.
• Manage all regulatory filings and disclosures, including Form ADV, Form 13-F, and other required reports.
• Act as the primary liaison with regulators, such as the SEC, internal teams, and external auditors.

Executive Leadership & Team Management

• Actively participate as a key member of the executive leadership team, contributing to strategic planning, enterprise initiatives, and execution of the business plan in line with the CEO's vision.
• Integrate legal and compliance perspectives into all operational and strategic decisions to drive sustainable growth.
• Lead, mentor, and hold accountable a team of legal and compliance professionals, fostering a culture of ethics, collaboration, and high performance.
• Support professional development, training, and succession planning within the legal and compliance functions.

Required Qualifications

To excel as General Counsel, candidates must bring 10+ years of progressive experience in legal, compliance, and risk management within financial services, wealth management, or investment environments. A Juris Doctor (JD) from an accredited law school is required, along with an active license to practice law in at least one U.S. jurisdiction. Essential certifications include Certified Securities Compliance Professional (CSC) and Certified Investment Company Compliance Professional (CICCP). Strong leadership skills, executive presence, and the ability to thrive in a fast-paced, regulated industry are critical. Experience with SEC regulations, Form ADV filings, and M&A transactions is highly preferred.

Why Join Us

Joining this premier financial services firm through Robert Half means stepping into a role with competitive compensation starting at $225,000 annually, plus a comprehensive benefits package that supports your professional and personal success. Enjoy a collaborative culture that values ethics, innovation, and high performance in the heart of Denver, CO. Our client offers opportunities for growth, strategic influence, and work-life balance in a supportive environment. This is more than a job—it's a chance to lead legal strategy at a respected wealth management leader. Interested candidates should send resumes to corey.tasker@roberthalf.com for immediate consideration. Robert Half: Connecting top talent with exceptional opportunities in legal and compliance careers across the U.S.