Counsel - Equity Management

About Wealth EnhancementWealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 90,000 households from our over 175 offices - and growing - nationwide.Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future.

For more information, please visit www.wealthenhancement.com.We’re growing our team by hiring a Counsel - Equity Management to play a critical role in supporting Wealth Enhancement Group’s (WEG’s) equity compensation strategy and securities law compliance framework. This position demands a highly skilled attorney to provide strategic advice and counsel related to equity plan design, implementation, administration, and regulatory compliance.The ideal candidate will have a strong background in securities law, capital markets, and equity compensation arrangements, preferably within a financial services or private company environment. This role will partner closely with Legal, Finance, HR, Payroll, and external counsel to ensure that WEG’s equity programs are structured, administered, and documented in a compliant and operationally effective manner.

The role will play a central role in designing, deploying and overseeing the use of artificial intelligence tools in the equity administration space.This is a fully remote position.In the spirit of pay transparency, we are excited to share the base salary range for this position is $122,000.00 to $140,000.00, exclusive of bonuses and

Benefits

. This role is also eligible for an annual corporate bonus and participation in the company equity program. We encourage you to apply and provide us with your compensation expectations when you do.

We’re big on open conversations, so, let’s have one.Primary Job FunctionsEquity Program Oversight & AdministrationServe as Legal department lead for equity compensation and equity management mattersOversee day-to-day legal compliance for WEG’s equity compensation programs, including profits interests, incentive units, and cash-equivalent incentive arrangementsAdvise on the design, implementation, and administration of equity compensation programs to ensure alignment with business objectives and legal

Requirements

Partner with Finance, HR, Payroll, and Equity Administration teams to ensure accurate and compliant equity grants, vesting, settlements, redemptions, and forfeituresInterpret and advise on limited liability company agreement (LLCA) provisions and related equity documentationTrack and advise on accredited investor status and related compliance

Requirements

Securities Law & Regulatory ComplianceAdvise on securities law compliance and implications of equity transactions, including Securities Act, Exchange Act, SEC rules, registration

Requirements

, and available exemptionsEnsure compliance with applicable federal and state securities laws in connection with equity offerings and equity-based compensationPrepare and review required securities filings, including Form D and related documentationMonitor regulatory developments and translate changes into practical internal guidance and updated documentationIdentify and mitigate securities-related risk through proactive review, internal controls, and policy enhancementsManage and coordinate outside securities counsel, including defining scope of engagement and monitoring legal spendEquity Transactions & M&A SupportProvide equity-related legal support in connection with mergers and acquisitions, including equity consideration structure and treatment, due diligence related to outstanding equity awards, transaction-related disclosures, and integration of acquired equity arrangementsSupport capital-raising and investor-related equity matters, including preparation and review of subscription agreements and related templatesPartner cross-functionally on complex equity management issues, including redemptions, restructurings, and related governance mattersWork closely with Employment Legal on matters involving restrictive covenants and other employment-related equity considerationsDocumentation & Template ManagementDraft, review, and maintain equity-related documents, including equity plan documents, award agreements, subscription agreements, participant communications, and related templates and internal guidance materialsEnsure documentation remains current with regulatory changes and internal structural updatesGeneral Legal SupportAlong with the rest of the Legal team, advise and support on general legal matters arising in WEG’s business, including changes in applicable law and responding to inquiries related to employment law mattersProvide thought leadership on equity governance and compliance within the organizationPrepare and present updates to leadership and business units regarding equity program developments and regulatory changesFoster a culture of compliance, collaboration, and continuous improvement within the Legal functionEducation/

Qualifications

Juris Doctor (JD) degree from an accredited law schoolActive bar membership in at least one U.S. state4 - 8 years of legal experience with a strong background in equity compensation programs, corporate law and securities law; experience in either a law firm or in-house legal department would be consideredWorking knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, and related SEC rules and exemptionsExperience drafting and advising on equity plan documents, award agreements, and private offering documentationStrong understanding of equity compensation structures in private company environmentsDemonstrated ability to manage complex, cross-functional initiatives and balance legal risk with practical business solutionsExcellent communication, negotiation, and interpersonal skillsDetail-oriented with strong analytical and problem-solving abilitiesAbility to work in a fast-paced environment and manage multiple projects with tight deadlinesWEG hires employees and makes decisions about their salary

Qualifications

based on factors such as: the role to be performed; educational and professional experience,

Qualifications

, skills and credentials; tenure, cost-of-living and demand for the role in the applicable market. To comply with state pay transparency laws, we must disclose the entire salary grade. The entire salary grade for those who are classified as the associate level is $104,800.00 to $157,200.00.

However, the base salary range bolded above ($122,000.00 to $140,000.00) is what we expect to pay as a starting range for this position.Comprehensive

Benefits

OfferingsOur

Benefits

aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may be eligible to participate in the following

Benefits

& development opportunities:Training and professional developmentMedical, dental and vision coverage (Available to full-time employees and their families)Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expensesLife and AD&D insurance - employer paid and voluntary optionsShort-term and long-term disability, workers compensation - employer paid401k with match and profit sharingWellness programs and resourcesVoluntary

Benefits

, including pet insurance18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)12 paid holidays each year (10 pre-determined and 2 floating days)Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)Reimbursement for tuition, licensing, and other credentials (Available after meeting service

Requirements

)Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 76*** *** 700Information provided on this application will be kept confidential and only be shared with those involved in the selection process.Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify. Click the following link to view Federal and E-Verify posters: LinkOSHA

Requirements

: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.Wealth Enhancement may use artificial intelligence (AI) tools to assist in the initial screening of resumes. All AI-supported evaluations are reviewed by our recruitment team to ensure accuracy and fairness. We are committed to equal opportunity in employment and do not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status.

Your personal information is handled in accordance with applicable data protection laws.Originally posted on Himalayas