Securities Law Attorney - job 1 of 2

Job Summary

A company is looking for a Securities Law Attorney to provide legal counsel and compliance oversight for broker-dealers and registered investment advisers.

Key Responsibilities

• Provide legal defense and compliance advice for broker-dealers and registered investment advisers
• Analyze regulatory matters and ensure clients' operations comply with relevant laws
• Regularly interact with clients to offer legal counsel and develop compliance strategies

Required Qualifications and Education

• 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
• Self-motivated with the ability to work efficiently in a remote environment