Lupton Partners Job Posting: Associate In-House Counsel

Compensation: $90,000 - $125,000, based on experience.

Overview

Lupton Partners is recruiting for the position of Associate In-House Counsel on behalf of our client, a well-established, Kansas City-based organization operating nationwide. This role is a key addition to the company’s expanding legal and compliance team, supporting a transition plan for the retirement of the Chief Legal Officer. The ideal candidate will have a JD, an active bar admission in good standing, and experience in either a law firm or a financial services organization.

This position offers a unique opportunity for professional growth, with direct exposure to senior leadership and increasing responsibilities within the organization’s legal and compliance functions.

Key Responsibilities

• Regulatory Analysis & Interpretation: Research and interpret federal and state regulations related to insurance and broker-dealer (FINRA) compliance to support the organization’s legal and compliance teams.
• Compliance Support: Assist the compliance department in developing and implementing policies and procedures that align with evolving regulatory requirements.
• Corporate Governance: Support senior legal leadership in maintaining corporate governance structures, reviewing contracts, and advising on legal risks.
• Regulatory Filings & Examinations: Help prepare and respond to regulatory inquiries, examinations, and audits from FINRA, SEC, and state insurance regulators.
• Training & Advisory: Provide guidance and training to internal teams on regulatory changes and legal best practices.
• Cross-Functional Collaboration: Work closely with senior leadership, compliance, and risk management teams to ensure regulatory alignment and mitigate potential risks.
• Professional Growth Opportunity: Gain exposure to high-level legal and compliance decision-making, with a path for increased responsibility and career advancement.

Qualifications

• Education: JD from an accredited law school.
• Bar Admission: Active bar membership in good standing.
• Experience: 2+ years of experience in a law firm or financial services organization, with exposure to regulatory compliance, insurance law, or securities regulations.
• Regulatory Knowledge: Familiarity with FINRA, SEC, and state insurance regulatory frameworks.
• Communication Skills: Strong ability to analyze complex regulations and effectively communicate legal guidance to business teams.
• Growth Mindset: Eager to develop expertise and expand responsibilities within the legal and compliance functions.

Our Talent Vision

Lupton Partners' recruiting and talent optimization practice operates intentionally with two purposes centered around the people side of the business equation. For talent, we recognize that making a career move is both exciting and stressful, guiding individuals to find higher meaning and reward in their careers. For clients, we understand that the talent equation involves aligning business and people strategies, retaining and empowering talent, and attracting the best available candidates. We specialize in various sectors, including banking and financial services, legal and counsel, finance and accounting, and executive recruiting, while also focusing on talent optimization to align people with business strategies, boost productivity, and adapt to change.