Counsel – Equity Management
Summary of Relevant Experience
Summary of Experience – Counsel – Equity Management @ Wealth Enhancement Group
- JD/MBA-credentialed benefits and ERISA counsel who has served as in-house legal lead at multiemployer funds and a Fortune 500 insurer, advising on plan design, governance documentation, and regulatory compliance across complex compensation structures.
- Employee benefits attorney who has drafted and reviewed plan documents, award agreements, and participant communications while ensuring alignment with federal regulatory requirements and organizational objectives.
- Litigation and compliance leader who managed outside counsel, led M&A due diligence on benefits and compensation matters, and translated regulatory developments into practical internal guidance for C-suite stakeholders.
- Cross-functional legal partner who collaborated with HR, Finance, and operations teams to administer compliant compensation programs, supporting accurate plan settlements, forfeitures, and participant disclosures within regulated financial and healthcare environments.
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Why this is a fit
This role targets equity compensation and securities law—corporate/capital markets work that diverges from your ERISA, employee benefits, and HIPAA specialization; while both touch 'benefits' broadly, your background is plan governance and labor relations rather than equity plan design, LLC agreements, or SEC filings, making the function match partial at best. The seniority range (4–8 years, Counsel-level) and fully remote setup align reasonably well with your profile, but the core subject-matter gap is a significant obstacle.
About the role
About Wealth Enhancement Wealth 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 Functions Equity Program Oversight & Administration Serve as Legal department lead for equity compensation and equity management matters Oversee day-to-day legal compliance for WEG’s equity compensation programs, including profits interests, incentive units, and cash-equivalent incentive arrangements Advise 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 forfeitures Interpret and advise on limited liability company agreement (LLCA) provisions and related equity documentation Track and advise on accredited investor status and related compliance requirements Securities Law & Regulatory Compliance Advise on securities law compliance and implications of equity transactions, including Securities Act, Exchange Act, SEC rules, registration requirements, and available exemptions Ensure compliance with applicable federal and state securities laws in connection with equity offerings and equity-based compensation Prepare and review required securities filings, including Form D and related documentation Monitor regulatory developments and translate changes into practical internal guidance and updated documentation Identify and mitigate securities-related risk through proactive review, internal controls, and policy enhancements Manage and coordinate outside securities counsel, including defining scope of engagement and monitoring legal spend Equity Transactions & M&A Support Provide 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 i