Midlevel Securities Compliance Attorney

Are you someone not afraid to push back to zealously advocate for your client? Are you someone who balances serious dedication with a lively personality?

We’re looking for someone who brings charisma and enthusiasm to their work. Clients are among the brightest in the industry, and they seek to collaborate with exceptional people. We’re a vibrant team committed to achieving impressive results, enabling those in finance to excel at what they do best—helping others achieve their ROI.

Do you have at least 5 years of experience as an attorney? Have you worked in a law firm and understand what it takes to be an attorney? Do you handle specialized tasks with efficiency, confidence, and skill? Are you known for your meticulous attention to detail, your commitment to accuracy, and your reliability in meeting deadlines? Do you understand accountability without the need for micro-management? Do you take your work seriously, possess a strong sense of responsibility, and maintain a disciplined approach? If you thrive in a fast-paced environment and enjoy diving into intricate, specialized work, we’d love to hear from you.

• General Counsel for BD and RIAs
• Regulatory defense
• Drafting ADV, SOP, and various other compliance documents
• Analyzing and advising on compliance and regulatory matters that affect broker-dealers and registered investment advisers
• Preparing, reviewing. & revising contracts, including registered representative and IAR contracts and agreements with third parties
• Interacting with clients to provide direction and legal counsel on related issues
• Assessing a variety of legal documents and suggesting changes
• Negotiating with other entities to resolve differences
• Delegating/Supervising the work of specialized paralegals and other staff/analysts
• Formulating strategies for representing clients and taking ownership of such
• Examining and providing guidance on compliance and regulatory matters for broker-dealers and registered investment advisers
• Connecting with clients to offer guidance and legal counsel on related issues
• Assessing legal paperwork and suggesting modifications
• Negotiating with external entities to settle disputes
• Developing methods of representing clients and taking complete ownership
• Acting as Chief Compliance Officer for clients, as needed

• At least 5 - 10 years of legal experience related to financial services, preferably with an investment firm or law firm serving RIA and BD clients
• Hands-on experience handling SEC, FINRA, and state regulations (licensure preferred but not required)
• Knowledge of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, rules/regulations of self-regulatory organizations, state securities laws, and principles of corporate law
• Outstanding writing and organizational skills
• Ability to delegate, prioritize, and maintain task and workflow management
• Demonstrated ability to analyze complex legal matters
• Strong interpersonal skills, able to work with senior management and adapt to new tasks
• Enjoys working collaboratively, resolving issues, and managing difficult scenarios
• Limited business travel required