Securities Law Attorney

REMOTE ATTORNEY JOB: Our client, a national RIA compliance and securities law firm, seeks a dynamic and well-qualified securities law attorney. The Firm is 100% virtual, so this position is remote and open to attorneys licensed in any U.S. state. Join a forward-thinking and innovative law firm that believes in making a meaningful impact on clients’ lives.

The firm has a strong team that works well together and is committed to maintaining a positive and supportive work culture. If you truly enjoy the financial services compliance industry, bring your securities, compliance and legal expertise to this role and serve as general counsel to broker-dealers and registered investment advisers across the U.S.

• Juris Doctorate (J.D.) degree from an accredited law school.
• Licensed to practice law in the United States (work remotely from any State, preferably Eastern time zone).
• 5-10 years of legal experience in financial services, preferably with an investment firm or a law firm serving Registered Investment Advisers and Broker-Dealer clients.
• Proven expertise in handling U.S. Securities and Exchange Commission (SEC), FINRA, and state regulations; licensure is preferred, but not required.
• Must enjoy meeting with clients and helping them navigate financial regulatory issues.
• Exceptional communication skills and problem-solving skills needed in order to work with all levels of staff and our clients.

In-depth knowledge of key regulations and laws, including:

• Investment Advisers Act of 1940
• Securities Exchange Act of 1934
• Rules and regulations of self-regulatory organizations
• State securities laws; and
• Principles of corporate law and financial regulation.

Chief Compliance Officer Role (as needed)

• Act as Chief Compliance Officer (CCO) for clients when required, overseeing compliance programs and practices.
• Ensure adherence to all internal and external compliance standards, providing guidance on CCO-related matters.
• Adherence to rules, regulations, laws, and guidance.
• Draft documents such as correspondence, pleadings, motions, briefs, affidavits, settlement agreements, and contracts to be used in proceedings and contract negotiations.
• Conduct legal research, prepare for and attend hearings and/or other legal proceedings, and provide legal counsel with the help of senior attorneys.