Securities Law Attorney

Job Description

Job Description

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.

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.

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

Chief Compliance Officer Role (as needed)