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Securities Law Attorney

7/31/2025

N/A

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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