Senior Legal Counsel – AI, Broker‑Dealer & RIA

Cetera is seeking a Senior Legal Counsel to support the firm’s use of AI and emerging technology across our broker‑dealer and RIA businesses. This role is focused on contracts, vendor risk, data usage, privacy and regulatory alignment.

You will serve as a trusted legal partner as Cetera evaluates, contracts for, and deploys AI‑enabled tools used by advisors, supervision, operations, compliance, and corporate teams. Your role is to help the business move forward confidently while ensuring we meet our obligations as a FINRA‑regulated broker‑dealer and SEC‑registered investment adviser and data privacy laws.

This is a practical, business‑oriented role for a lawyer who understands how technology decisions intersect with supervision, fiduciary standards, privacy, and recordkeeping and who can translate that into clear guidance without slowing progress.

Responsibilities:

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