Job Description

General Counsel | Confidential | Private Investment Firm

Full-Time

Posted September 18, 2026

Apply by October 2, 2026

Job Overview

The RoleWe are hiring our first General Counsel to lead all legal affairs across the enterprise. This is a hands-on, senior leadership role for a securities lawyer who wants real ownership: you will be the principal legal advisor to the CEO, work alongside our compliance and portfolio management teams, and build the legal function from the ground up. You should be as comfortable drafting a side letter or fund operating agreement yourself as you are advising on regulatory strategy and managing outside counsel.This is a full-time position serving all affiliated entities. The role can be based in either South Florida or the New York City area. Candidates based in New York should expect regular travel to our Fort Lauderdale headquarters.

What You'll Do

• Serve as chief legal advisor across the RIA, broker-dealer, fund complex, and lending affiliate, including on conflicts of interest and affiliated-party transactions among them
• Structure, draft, and negotiate private fund and SPV documents: series LLC operating agreements, PPMs, subscription agreements, and side letters
• Lead legal work on secondary transactions in private company shares, including stock purchase agreements, forward contracts, transfer restrictions, rights of first refusal, and issuer consents
• Advise on Investment Advisers Act, Exchange Act, Securities Act (Reg D and other exemptions), and Investment Company Act matters, plus FINRA rules applicable to private placements
• Partner with our Chief Compliance Officers on Form ADV, Form BD, Form D and blue sky filings, policies and procedures, marketing review, and regulatory exams and inquiries
• Draft and review loan, repurchase, and intercompany agreements for the lending entity
• Oversee entity governance and maintenance for a large multi-entity structure
• Manage investor distributions, in-kind transfers, and liquidity events from a legal perspective
• Handle disputes, arbitration, and regulatory matters, and select, manage, and budget outside counsel
• Negotiate vendor, banking, custody, and other commercial agreements

What We're Looking For

• J.D. from an accredited law school and active bar membership in good standing; Florida or New York admission preferred, or eligibility for in-house counsel registration in the state where you will be based
• 10+ years of securities law experience at a law firm, in-house at an investment adviser, broker-dealer, or private fund sponsor, or at the SEC or FINRA
• Deep working knowledge of the Advisers Act, broker-dealer regulation, and private fund formation
• Experience with pre-IPO secondaries, SPVs, or venture/growth-stage private placements strongly preferred
• Required: strong knowledge of and skill with AI tools, and a genuine desire to keep learning as the technology evolves
• Sound judgment on conflicts of interest in dual-registrant and affiliated-entity structures
• An entrepreneurial, roll-up-your-sleeves approach; this is a lean organization where the GC does the work, not just supervises it
• Clear, practical communication with business leaders, investors, counterparties, and regulators
• Based in, or willing to relocate to, the Fort Lauderdale or New York City area

Key Responsibilities

• Serve as the principal legal advisor to the CEO and senior management across all affiliated entities, providing strategic counsel on legal and regulatory matters
• Structure, draft, and negotiate private fund documents, SPV agreements, and related legal instruments including operating agreements, PPMs, subscription agreements, and side letters
• Lead legal activities related to secondary transactions, including stock purchase agreements, transfer restrictions, and issuer consents
• Advise on compliance with the Investment Advisers Act, Exchange Act, Securities Act, and Investment Company Act, as well as FINRA rules applicable to private placements
• Collaborate with compliance teams on regulatory filings, policies, procedures, and manage regulatory examinations and inquiries
• Draft and review loan, intercompany, and repurchase agreements, ensuring legal soundness and regulatory compliance
• Oversee entity governance, manage investor distributions, liquidity events, and handle disputes, arbitration, and outside counsel relationships

Required Qualifications

• J.D. from an accredited law school and active bar membership in good standing, with Florida or New York admission preferred
• Minimum of 10 years of securities law experience at a law firm, in-house at an investment adviser, broker-dealer, or private fund sponsor, or at the SEC or FINRA
• Deep expertise in Advisers Act, broker-dealer regulation, and private fund formation
• Experience with secondary transactions, SPVs, or venture/growth-stage private placements
• Proficiency with AI tools relevant to legal practice and a strong desire to stay current with technological advancements
• Excellent judgment regarding conflicts of interest in dual-registrant and affiliated-entity structures
• Proven ability to work independently in a lean environment with a hands-on approach
• Exceptional communication skills for engaging with business leaders, investors, regulators, and external counsel
• Willingness to relocate or be based in South Florida or New York City, with travel to Fort Lauderdale as needed

Preferred Qualifications

• Experience building a legal function from inception in a private investment or financial services firm
• Knowledge of pre-IPO secondaries, SPVs, and private placements in venture or growth-stage companies
• Strong understanding of regulatory and compliance frameworks in multi-entity structures
• Demonstrated leadership in managing outside counsel and legal budgets
• Familiarity with emerging AI and legal technology tools

Application Process

AI-powered application review

Potential AI interview invitation

Company Overview

Phoenix Financial is a growing, alternative-focused financial services firm committed to providing advisors and their clients access to a broad range of investment and wealth-management solutions. Our platform includes traditional investments, private equity and pre-IPO opportunities, structured investments, advanced insurance solutions, and estate-planning strategies.We are equally committed to developing the next generation of financial professionals. Through hands-on training, mentorship, licensing support, and exposure to experienced industry professionals, we provide motivated individuals with an opportunity to build their knowledge, develop their business, and establish a long-term career in financial services.At Phoenix Financial, we value professionalism, accountability, integrity, continuous improvement, and an entrepreneurial mindset. We believe strong advisors are built through preparation, experience, and a commitment to putting clients first.

Mission

Our mission is to deliver a best-in-class financial experience by combining personalized service, sophisticated investment solutions, and access to opportunities across a diverse range of asset classes. We are committed to acting with integrity, maintaining the highest professional standards, and helping our clients and advisors pursue long-term success.

Vision

Our vision is to build a premier financial services organization recognized for developing exceptional advisors, delivering sophisticated investment solutions, and providing clients access to opportunities beyond traditional wealth management. We strive to create an environment where talented, entrepreneurial professionals can build meaningful careers while helping clients build and preserve wealth.

Culture

Phoenix Financial maintains a professional, entrepreneurial, and performance-driven culture where individuals are encouraged to take ownership of their careers. We believe success is built through preparation, discipline, accountability, and continuous improvement.Our Fort Lauderdale office provides a collaborative, in-person environment where newer professionals can learn alongside experienced advisors and industry professionals. We encourage open communication, mentorship, healthy competition, and the exchange of ideas. Individuals who are motivated, coachable, professional, and willing to put in the work have the opportunity to grow within the organization.

Our Values

Our values define how we conduct business, serve our clients, and work with one another. We believe long-term success is earned by doing the right thing every day, taking responsibility for our actions, maintaining high professional standards, and continuously improving our knowledge and abilities.We expect our professionals to be prepared, accountable, client-focused, and willing to challenge themselves and one another to improve. Details matter in financial services, and we believe our reputation is built one decision, one client, and one interaction at a time.

Accountability

Professional Excellence

Client Commitment

Teamwork

Attention to Detail

Integrity

Benefits depend on roles applied for.

Benefits depend on roles applied for.

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