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.

Qualifications and Requirements

• 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.
• Self-motivated with the ability to work efficiently on a remote basis and achieve minimum billable hours requirements of 1600 annually.

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.

Responsibilities

Regulatory Defense & Compliance Oversight

• Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA).
• Advise clients on compliance with relevant laws, rules, and regulations for BD and RIA entities.
• Draft and revise key compliance documents, including Form ADV, Standard Operating Procedures (SOP), and various legal agreements.
• Prepare and review contracts, including those for registered representatives, investment adviser representatives (IAR), and third-party agreements.

Regulatory Analysis & Advisory

• Analyze and advise on complex compliance and regulatory matters affecting BDs and RIAs.
• Examine and interpret new and existing regulatory changes, ensuring clients’ operations are compliant.

Client Interaction & Legal Counsel

• Regularly interact with clients to provide proactive legal counsel and direction on regulatory and compliance issues.
• Guide clients on best practices for compliance and risk mitigation strategies.

Legal Document Review & Recommendations

• Assess a wide range of legal documents (contracts, agreements, policies, etc.) and recommend necessary changes to protect clients’ interests.
• Ensure legal documents align with regulatory requirements and business goals.

Negotiation & Dispute Resolution

• Lead negotiations with external entities, including regulators, clients, and third parties, to resolve legal disputes and business differences.
• Work to resolve conflicts effectively, balancing legal and business considerations.

Strategic Representation & Ownership

• Formulate and execute legal strategies to represent clients effectively, taking full ownership of their legal matters.
• Develop long-term strategies to mitigate risks and ensure clients’ legal and regulatory compliance.

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.

SKILLS

Writing & Organizational Skills

• Exceptional writing and documentation skills, with the ability to draft clear, concise, and legally sound documents.
• Strong organizational skills, able to manage multiple tasks, deadlines, and legal documents efficiently.
• Self-directed with exceptional time management skills.

Analytical & Problem-Solving Abilities

• Proven ability to analyze complex legal issues and provide practical, well-thought-out solutions.
• Critical thinking skills for navigating regulatory challenges and compliance risks.

Interpersonal & Collaborative Skills

• Strong interpersonal skills with the ability to work effectively with senior management and diverse teams.
• Flexibility to adapt to new tasks, shifting priorities, technology, and dynamic work environments.

Teamwork & Conflict Resolution

• Enjoys working collaboratively with others to resolve legal issues and challenges.
• Ability to manage difficult or high-pressure scenarios with poise and professionalism.
• Delegate tasks and supervise the work of paralegals, legal analysts, and other specialized compliance staff members.

Compensation

Base salary is dependent upon several factors, including years of relevant experience, education, certifications, licenses, job history, business background, references, tenure, and applicable skills and abilities. There are bonus opportunities in this role as well. 100% remote work opportunity.