Associate Counsel

Regulatory Legal Opportunity in Financial Services

Associate Counsel  

Location(s):      20 E. Thomas Road, Phoenix, AZ  85012


We currently have an opening for an associate counsel who has 1-3 years’ experience working with broker-dealers and investment advisers or is interested in working in this area.  This position will report directly to the Senior Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and investment advisers.  Individuals serving in this position will work with and be supervised by senior attorneys in the legal department.

Why Advisor Group? 

  • Competitive salary and annual bonus paid based on performance
  • Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
  • Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
  • 401(k) match from day one of employment
  • Referral bonuses if we hire your referred applicants to our open positions
  • An enriching and engaging career in financial services – our employees overwhelmingly report that they find meaning and purpose in their day to day work
  • Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events
  • New, professional, and collaborative working environment where parking is provided
  • Headquarters location provides access and interaction with every function within the organization


  • Research and advise on securities laws relating to broker-dealers and investment advisers;
  • Draft and review responses to regulatory examinations;
  • Legal review of disclosure documents, sales and marketing materials;
  • Advise on business projects and initiatives;
  • Draft and/or review supervisory procedures and compliance policies and procedures;
  • The attorney serving in this position will be part of a fast-paced, dynamic work-environment, requiring strong legal and analytical skills; a creative approach to problem solving; a demonstrated ability to multi-task and to work successfully on time-sensitive matters; the ability to work as part of a team collaborating with other counsel and business or compliance personnel.
  • All other duties as assigned

Education Requirements:

  • JD degree required. 
  • Must be a member in good standing with in at least one jurisdiction and be eligible to register as in-house counsel in another jurisdiction if needed.

Basic Requirements:

  • One to three years of meaningful, “hands-on” experience at a major law firm, an in-house legal department, or a regulatory body, working for or interacting with regulators at the SEC, FINRA or other similar agencies is preferred. 
  • Familiarity with broker-dealers and registered investment advisers and the laws and rules that applies to these entities is preferred.  

We are willing to train individuals who demonstrate strong potential to meet these requirements.

Be A Part Of The Team Behind Our Success!

At Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.


Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.