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
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