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General Counsel and Chief Compliance Officer

TCG Group Holdings, LLP., AUSTIN texas

This job is no longer available.

Brief Description / Overview:

The Senior Attorney is responsible for providing senior counsel to the TCG leadership and family of companies. This will include assisting the President and other TCG management in reviewing contracts and agreements, acting as a liaison with outside counsel on legal matters and other legal duties as assigned including involvement in employment law matters. He or she will also be responsible for overseeing the compliance of all retirement plans administered by TCG and compliance matters for the firm’s SEC registered RIA. TCG uses and outsourced compliance platform (a third-party partner) to administer most of it’s core compliance duties and functions – the CCO will partner with this firm in discharging any necessary duties. The firm does not have a broker-dealer and does not intend to offer any broker-dealer services. The Senior Counsel role will also include acquisition activity, and the duties routinely include deal transaction work and negotiation for initiatives undertaken by the firm, and investment related matters as counsel to the TCG RIA which is SEC registered and regulated.


Job duties will include but are not limited to:

-Providing routine counsel to the various operating units and divisions of TCG Group, LLP

-Assisting with legal structure and liability management

-Reviewing and preparing contracts and agreements for all TCG affiliates and the holding company, including key interaction with TCG’s primary vendors

-Acting as a liaison with outside counsel and the TCG lobbying firm on legal matters

-Advising TCG management on legal issues and rendering legal opinions

-Researching legal and tax issues, as well as securities and investment related research

-Participating in new product development and advising on investment strategy and compliance

-Advising TCG management on national and state legal issues affecting the businesses

-Assist TCG Consulting with review of client employment agreements when TCG is negotiating an agreement for a client or other employment matters as they pertain to TCG’s staff

-Research and counsel regarding ERISA and Non-ERISA regulations and administration

-Overseeing the following in conjunction with the TCG COO, particularly for ERISA plans: Assist in evaluation of potential new clients regarding possible liability and compliance issues; Compliance Testing, Review, and 5500 Preparation and Filing; Consult with Plan Sponsors with Annual Audits; Drafting all notices that must be sent out in accordance with all regulatory requirements; Review of Plan Document Preparation (using pre-approved and prototypes)

-Regulatory Research / Analysis, and Certain Key Plan and Beneficiary Determinations

-Oversight and management of the firm’s compliance functions as it relates to investment advisors and other trading and RIA employees, and reporting and procedures related thereto

-Develop and maintain expertise in relevant areas of the law, to keep current on industry developments and support the continued education of the leadership of the firm

Persons successful in the role will have effective communication skills, and be someone who seeks to learn. This person must be or be willing to become an expert on employee retirement plan compliance and the legal requirements of ERISA and employment agreements for education executives for whom TCG Consulting negotiates compensation packages and contracts. A working knowledge of non-ERISA retirement plan rules and a background in governmental retirement plans will be a plus for any candidate. The successful individual will also have, and gain, extensive expertise regarding investments and registered investment advisors. The individual will also be required to stay up to date on current legislative and regulatory issues affecting employee retirement plans.


Experience and Education:

Admitted attorney with appropriate academic credentials and at least 4 years business practice and compliance experience

Compliance (SEC) experience preferred but not required

Licenses/Registrations/Professional Designations:

Candidates must be willing to obtain any industry or professional designations that may be required by TCG

Compensation: Competitive Compensation Based on Experience and Credentials

Job Type: Full-time, Exempt 

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