State Licensed Legal Counsel

Job Summary

A company is looking for a Legal Counsel specializing in ERISA & Securities to support legal matters for a registered investment advisory firm.

Key Responsibilities

• Create and maintain client agreements for fiduciary and non-fiduciary services
• Provide legal support on contract review, complaint investigations, and privacy matters
• Identify and mitigate legal risks while providing strategic advice to senior leadership

Required Qualifications, Training, and Education

• Juris Doctorate degree from an ABA Accredited Law School
• Admitted to the State Bar of at least one State in good standing
• Minimum 3 years of experience with the Advisers Act, ERISA, and privacy regulations
• Strong understanding of fiduciary governance principles
• Experience with the Securities Exchange Act and FINRA regulations is a plus