Securities Law Attorney

Job Summary

A company is looking for an Associate Attorney to provide legal counsel in securities law and compliance for broker-dealers and registered investment advisers.

Key Responsibilities

• Provide legal defense and compliance oversight for broker-dealers and registered investment advisers
• Analyze regulatory matters and advise clients on compliance with laws and regulations
• Interact with clients to offer legal counsel and develop strategies for risk mitigation

Required Qualifications

• Juris Doctorate (J.D.) degree from an accredited law school
• Licensed to practice law in the United States
• 5-10 years of legal experience in financial services, preferably with investment firms or law firms
• Proven expertise in U.S. Securities and Exchange Commission (SEC) and FINRA regulations
• Ability to work efficiently on a remote basis and meet billable hours requirements