Senior Legal Counsel – AI, Broker Dealer & RIA

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    "ShortDescriptionStr": "Cetera is seeking a Senior Legal Counsel to support the firm’s use of AI and emerging technology across our broker‑dealer and RIA businesses. This role is focused on contracts, vendor risk, data usage, privacy and regulatory alignment.\n\nYou will serve as a trusted legal partner as Cetera evaluates, contracts for, and deploys AI‑enabled tools used by advisors, supervision, operations, compliance, and corporate teams. Your role is to help the business move forward confidently while ensuring we meet our obligations as a FINRA‑regulated broker‑dealer and SEC‑registered investment adviser and data privacy laws.\n\nThis is a practical, business‑oriented role for a lawyer who understands how technology decisions intersect with supervision, fiduciary standards, privacy, and recordkeeping and who can translate that into clear guidance without slowing progress.",
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    "ExternalDescriptionStr": "<p style=\"line-height: 15pt;\"><span style=\"color: windowtext; font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Cetera is seeking a Senior Legal Counsel to support the firm’s use of AI and emerging technology across our broker‑dealer and RIA businesses. This role is focused on contracts, vendor risk, data usage, privacy and regulatory alignment.</span></span></p><p style=\"line-height: 15pt;\"><span style=\"color: windowtext; font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">You will serve as a trusted legal partner as Cetera evaluates, contracts for, and deploys AI‑enabled tools used by advisors, supervision, operations, compliance, and corporate teams. Your role is to help the business move forward confidently while ensuring we meet our obligations as a FINRA‑regulated broker‑dealer and SEC‑registered investment adviser and data privacy laws.</span></span></p><p style=\"line-height: 15pt;\"><span style=\"color: windowtext; font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">This is a practical, business‑oriented role for a lawyer who understands how technology decisions intersect with supervision, fiduciary standards, privacy, and recordkeeping and who can translate that into clear guidance without slowing progress.</span></span></p><p style=\"line-height: 15pt;\"><span style=\"color: windowtext; font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\"><strong>Responsibilities:</strong></span></span></p><ul style=\"list-style-type: disc;\"><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Serve as primary legal counsel for AI‑enabled and technology vendor agreements supporting both the broker‑dealer and RIA businesses</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Draft, review, and negotiate commercial, SaaS, data, and technology contracts with a strong focus on:&nbsp;</span></span><ul style=\"list-style-type: circle;\"><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Client and advisor data protection</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Data ownership and permitted use (including AI training considerations)</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">IP rights and use of AI‑generated outputs</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><p><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Regulatory, supervision, and recordkeeping risk</span></span></p><p>&nbsp;</p></li></ul></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Advise the business on legal and regulatory considerations related to AI use in:&nbsp;</span></span><ul style=\"list-style-type: circle;\"><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Advisor tools and platforms</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Supervision, surveillance, and monitoring</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Client communications and content</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Operations and support functions</span></span></li></ul></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Partner closely with cross functional teams to assess AI tools prior to adoption</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Partner with the Cetera AI council to help establish and maintain clear, practical AI usage standards that align with BD and RIA regulatory requirements, data privacy &nbsp;and Cetera’s risk appetite</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Translate evolving regulatory guidance into actionable advice for business leaders</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Support vendor diligence and assessments related to AI capabilities, data handling, outsourcing, and regulatory exposure</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Build repeatable legal processes that fit into existing procurement, risk review, and approval workflows</span></span></li></ul><p style=\"line-height: 15pt;\"><br><span style=\"color: windowtext; font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\"><strong>Qualifications:</strong></span></span></p><ul style=\"list-style-type: disc;\"><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">A strong commercial lawyer with a broker‑dealer and/or RIA mindset</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">5–10+ years of legal experience with working knowledge of AI, automation, and data use in financial services, ideally with data privacy experience.</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Deep experience negotiating commercial and technology agreements</span></span></li><li><p style=\"line-height: 15pt;\"><span style=\"color: windowtext; font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Understanding of BD and RIA regulatory expectations, including supervision, recordkeeping, privacy, and fiduciary considerations is preferred.&nbsp; Prior experience at a BD, RIA or law firm regulatory practice a plus.</span></span></p></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Sound judgment and comfort operating in evolving regulatory areas</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Ability to communicate legal risk clearly to business and technology leaders</span></span></li><li style=\"color: windowtext; line-height: 15pt;\"><span style=\"font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt;\">Practical, collaborative, and solutions‑oriented</span></span></li></ul><p>&nbsp;</p><p><span style=\"color: windowtext; font-family: Aptos, sans-serif;\"><span style=\"font-size: 12pt; line-height: 150%;\">The base salary range for this role in El Segundo is $175,000-$190,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.</span></span></p>",
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    "CorporateDescriptionStr": "<p></p>\n<p></p>\n<p>About Us</p>\n<p><b>What we give you in return:</b></p>\n<p>Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:</p>\n<ul style=\"margin-top:0in\">\n <li>Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.</li>\n <li>Easy access to mental health benefits to meet our team members and their families where they are.</li>\n <li>20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.</li>\n <li>401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.</li>\n <li>Paid parental leave to support all team members with birth, adoption, and foster.</li>\n <li>Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.</li>\n <li>Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.</li>\n</ul>\n<p><b>About Cetera Financial Group:</b></p>\n<p><a href=\"https://cetera.com/\" target=\"_blank\" rel=\"nofollow\">Cetera Financial Group</a>® (\"Cetera\") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.</p>\n<p>Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.</p>\n<p>\"<a href=\"https://www.cetera.com/about-us\" target=\"_blank\" rel=\"nofollow\">Cetera Financial Group</a>\" refers to the network of independent retail firms encompassing, among others,&nbsp;<a href=\"https://www.ceteraadvisornetworks.com/welcome\" target=\"_blank\" rel=\"nofollow\">Cetera Advisors LLC</a>,&nbsp;<a href=\"https://www.ceteraadvisornetworks.com/welcome\" target=\"_blank\" rel=\"nofollow\">Cetera Wealth Services LLC</a>&nbsp;(f/k/a Cetera Advisor Networks),&nbsp;Cetera Investment Services LLC (marketed as <a href=\"https://www.cetera.com/firms/cetera-financial-institutions\" target=\"_blank\" rel=\"nofollow\">Cetera Financial Institutions,</a>&nbsp;or&nbsp;<a href=\"https://www.cetera.com/firms/cetera-financial-specialists\" target=\"_blank\" rel=\"nofollow\">Cetera Investors</a>. All firms are members FINRA/SIPC.</p>\n<p><i>Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.</i></p>\n<p><b><i>Agencies please note</i></b><i>: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.</i></p>\n<p>Please review our&nbsp;<a href=\"https://www.cetera.com/uploads/07/12/workforce_privacy_policy.pdf\" target=\"_blank\" rel=\"nofollow\">Workforce Privacy Policy</a>&nbsp;for further details on what information we collect and the purposes for collection.</p>",
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