Counsel – Equity Management

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 integration of acquired equity arrangements

• Support capital-raising and investor-related equity matters, including preparation and review of subscription agreements and related templates

• Partner cross-functionally on complex equity management issues, including redemptions, restructurings, and related governance matters

• Work closely with Employment Legal on matters involving restrictive covenants and other employment-related equity considerations

Documentation & Template Management

• Draft, review, and maintain equity-related documents, including equity plan documents, award agreements, subscription agreements, participant communications, and related templates and internal guidance materials

• Ensure documentation remains current with regulatory changes and internal structural updates

General Legal Support

• Along with the rest of the Legal team, advise and support on general legal matters arising in WEG’s business, including changes in applicable law and responding to inquiries related to employment law matters

• Provide thought leadership on equity governance and compliance within the organization

• Prepare and present updates to leadership and business units regarding equity program developments and regulatory changes

• Foster a culture of compliance, collaboration, and continuous improvement within the Legal function

Education/Qualifications

• Juris Doctor (JD) degree from an accredited law school

• Active bar membership in at least one U.S. state

• 4–8 years of legal experience with a strong background in equity compensation programs, corporate law and securities law; experience in either a law firm or in-house legal department would be considered

• Working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, and related SEC rules and exemptions

• Experience drafting and advising on equity plan documents, award agreements, and private offering documentation

• Strong understanding of equity compensation structures in private company environments

• Demonstrated ability to manage complex, cross-functional initiatives and balance legal risk with practical business solutions

• Excellent communication, negotiation, and interpersonal skills

• Detail-oriented with strong analytical and problem-solving abilities

• Ability to work in a fast-paced environment and manage multiple projects with tight deadlines

WEG hires employees and makes decisions about their salary qualifications based on factors such as: the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost-of-living and demand for the role in the applicable market. To comply with state pay transparency laws, we must disclose the entire salary grade. The entire salary grade for those who are classified as the associate level is $104,800.00 to $157,200.00. However, the base salary range bolded above ($122,000.00 to $140,000.00) is what we expect to pay as a starting range for this position.

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Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may be eligible to participate in the following benefits & development opportunities:

• Training and professional development

• Medical, dental and vision coverage (Available to full-time employees and their families)

• Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses

• Life and AD&D insurance – employer paid and voluntary options

• Short-term and long-term disability, workers compensation – employer paid

• 401k with match and profit sharing

• Wellness programs and resources

• Voluntary benefits, including pet insurance

• 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)

• 12 paid holidays each year (10 pre-determined and 2 floating days)

• Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)

• Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700

Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

Wealth Enhancement may use artificial intelligence (AI) tools to assist in the initial screening of resumes. All AI-supported evaluations are reviewed by our recruitment team to ensure accuracy and fairness. We are committed to equal opportunity in employment and do not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status. Your personal information is handled in accordance with applicable data protection laws.