In wealth management, legal and compliance executives must support trust, transparency, and regulatory integrity. BarkerGilmore’s wealth management headhunters specialize in placing General Counsel and Chief Compliance Officers who guide firms through complex legal landscapes while preserving client confidence and regulatory standing.
Our wealth management executive search services are designed for RIAs, private wealth platforms, family offices, and institutional advisory firms navigating today’s evolving compliance expectations.
Why Wealth Management Firms Choose BarkerGilmore
Legal Insight for Client-Centric Models — Our recruiters understand fiduciary duties, conflicts of interest, and the heightened regulatory scrutiny wealth managers face.
Specialized Talent Network — We maintain direct relationships with legal and compliance leaders who’ve worked across RIAs, broker-dealers, family offices, and hybrid firms.
Experience Across Ownership Models — From independent firms to bank-owned platforms and PE-backed consolidators, we customize every search based on firm structure and culture.
Trusted Among Wealth Management Executive Search Firms — We’re known for delivering discreet, fast, and high-impact executive placements for legal and compliance functions.
We recruit legal executives for:
- Registered Investment Advisors (RIAs)
- Multi-family offices and trust companies
- Broker-dealers and dual-registrants
- Wealthtech and digital advisory platforms
- Consolidators and aggregators
Our wealth management headhunters connect you with legal leaders who:
- Navigate SEC, FINRA, DOL, and state-level regulations
- Build scalable compliance programs as firms grow through M&A
- Advise on investment management agreements, fiduciary standards, and disclosures
- Oversee risk management, advertising review, and privacy compliance
- Support board and executive leadership with clear legal guidance
Beyond search, BarkerGilmore provides coaching and advisory services for legal and compliance executives leading in personalized, client-facing financial environments.
We support clients with:
- Onboarding new legal leaders in founder-led or consolidated firms
- Developing leadership among legal and compliance teams
- Confidential guidance through SEC exams, acquisition integrations, and investor relations
For General Counsel: Legal Leadership That Supports Growth & Trust
General Counsel in wealth management must act as strategic advisors, compliance anchors, and ethical leaders in a relationship-based business.
We assess GC candidates for:
- Regulatory expertise in fiduciary standards, disclosures, and advisor conduct
- Experience scaling legal infrastructure for high-growth platforms
- Leadership in compliance culture and operational controls
- Strong communication with founders, boards, and regulators
Partner with Wealth Management Headhunters Who Understand the Industry
Whether preparing for acquisition, navigating a regulatory exam, or building your legal team from the ground up, BarkerGilmore’s wealth management headhunters deliver talent who lead with integrity and clarity.
As a leading wealth management executive search firm, we provide the insight and access your firm needs to make the right legal and compliance hires the first time.
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