Midlevel Securities Compliance Attorney
Apply NowCompany: My RIA Lawyer
Location: Atlanta, GA 30349
Description:
Description
Are you someone not afraid to push back to zealously advocate for your client? Are you someone who balances serious dedication with a lively personality?
We're looking for someone who brings charisma and enthusiasm to their work. Clients are among the brightest in the industry, and they seek to collaborate with exceptional people. We're a vibrant team committed to achieving impressive results, enabling those in finance to excel at what they do best-helping others achieve their ROI.
Do you have at least 5 years of experience as an attorney? Have you worked in a law firm and understand what it takes to be an attorney? Do you handle specialized tasks with efficiency, confidence, and skill? Are you known for your meticulous attention to detail, your commitment to accuracy, and your reliability in meeting deadlines? Do you understand accountability without the need for micro-management? Do you take your work seriously, possess a strong sense of responsibility, and maintain a disciplined approach? If you thrive in a fast-paced environment and enjoy diving into intricate, specialized work, we'd love to hear from you.
Responsibilities
General Counsel for BD and RIAs
Regulatory defense
Drafting ADV, SOP, and various other compliance documents
Analyzing and advising on compliance and regulatory matters that affect broker-dealers and registered investment advisers
Preparing, reviewing. & revising contracts, including registered representative and IAR contracts and agreements with third parties
Interacting with clients to provide direction and legal counsel on related issues
Assessing a variety of legal documents and suggesting changes
Negotiating with other entities to resolve differences
Delegating/Supervising the work of specialized paralegals and other staff/analysts
Formulating strategies for representing clients and taking ownership of such
Examining and providing guidance on compliance and regulatory matters for broker-dealers and registered investment advisers
Connecting with clients to offer guidance and legal counsel on related issues
Assessing legal paperwork and suggesting modifications
Negotiating with external entities to settle disputes
Developing methods of representing clients and taking complete ownership
Acting as Chief Compliance Officer for clients, as needed
Maintain client files in an organized fashion to ensure up-to-date information is handy for other attorneys, paralegals and support staff
Create legal documents, including correspondence, briefs, motions, pleadings, contracts, affidavits, and settlement agreements for contract negotiations and proceedings
Assist clients in determining a proper solution to legal conflicts and determine the best course of action
Attend court hearings or other legal proceedings, perform legal research, and work with senior associate attorneys to provide legal advice
Qualifications
At least 5 - 10 years of legal experience related to financial services, preferably with an investment firm or law firm serving RIA and BD clients
Hands-on experience handling SEC, FINRA, and state regulations (licensure preferred but not required)
Knowledge of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, rules/regulations of self-regulatory organizations, state securities laws, and principles of corporate law
Outstanding writing and organizational skills
Ability to delegate, prioritize, and maintain task and workflow management
Demonstrated ability to analyze complex legal matters
Strong interpersonal skills, able to work with senior management and adapt to new tasks
Enjoys working collaboratively, resolving issues, and managing difficult scenarios
Limited business travel required
Applicants must have successfully passed the state bar exam
Juris Doctorate (J.D.) degree required from an accredited law school
Solid communication skills and problem-solving skills required in order to work with clients, staff members and senior attorneys
Prepared to learn from senior attorneys to meet our client needs and grow our client base
Are you someone not afraid to push back to zealously advocate for your client? Are you someone who balances serious dedication with a lively personality?
We're looking for someone who brings charisma and enthusiasm to their work. Clients are among the brightest in the industry, and they seek to collaborate with exceptional people. We're a vibrant team committed to achieving impressive results, enabling those in finance to excel at what they do best-helping others achieve their ROI.
Do you have at least 5 years of experience as an attorney? Have you worked in a law firm and understand what it takes to be an attorney? Do you handle specialized tasks with efficiency, confidence, and skill? Are you known for your meticulous attention to detail, your commitment to accuracy, and your reliability in meeting deadlines? Do you understand accountability without the need for micro-management? Do you take your work seriously, possess a strong sense of responsibility, and maintain a disciplined approach? If you thrive in a fast-paced environment and enjoy diving into intricate, specialized work, we'd love to hear from you.
Responsibilities
General Counsel for BD and RIAs
Regulatory defense
Drafting ADV, SOP, and various other compliance documents
Analyzing and advising on compliance and regulatory matters that affect broker-dealers and registered investment advisers
Preparing, reviewing. & revising contracts, including registered representative and IAR contracts and agreements with third parties
Interacting with clients to provide direction and legal counsel on related issues
Assessing a variety of legal documents and suggesting changes
Negotiating with other entities to resolve differences
Delegating/Supervising the work of specialized paralegals and other staff/analysts
Formulating strategies for representing clients and taking ownership of such
Examining and providing guidance on compliance and regulatory matters for broker-dealers and registered investment advisers
Connecting with clients to offer guidance and legal counsel on related issues
Assessing legal paperwork and suggesting modifications
Negotiating with external entities to settle disputes
Developing methods of representing clients and taking complete ownership
Acting as Chief Compliance Officer for clients, as needed
Maintain client files in an organized fashion to ensure up-to-date information is handy for other attorneys, paralegals and support staff
Create legal documents, including correspondence, briefs, motions, pleadings, contracts, affidavits, and settlement agreements for contract negotiations and proceedings
Assist clients in determining a proper solution to legal conflicts and determine the best course of action
Attend court hearings or other legal proceedings, perform legal research, and work with senior associate attorneys to provide legal advice
Qualifications
At least 5 - 10 years of legal experience related to financial services, preferably with an investment firm or law firm serving RIA and BD clients
Hands-on experience handling SEC, FINRA, and state regulations (licensure preferred but not required)
Knowledge of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, rules/regulations of self-regulatory organizations, state securities laws, and principles of corporate law
Outstanding writing and organizational skills
Ability to delegate, prioritize, and maintain task and workflow management
Demonstrated ability to analyze complex legal matters
Strong interpersonal skills, able to work with senior management and adapt to new tasks
Enjoys working collaboratively, resolving issues, and managing difficult scenarios
Limited business travel required
Applicants must have successfully passed the state bar exam
Juris Doctorate (J.D.) degree required from an accredited law school
Solid communication skills and problem-solving skills required in order to work with clients, staff members and senior attorneys
Prepared to learn from senior attorneys to meet our client needs and grow our client base