Description:

Position Summary:
The position will entail providing guidance and regulatory advice to A Leading Full-Service Firm client Registered Investment Advisory (“RIA”) firms. The Associate will supervise the work product of their team and will support the entire RIA Compliance team with legal research and drafting as needed.

Additionally, providing advocacy and representation pertaining to regulatory inquiries/investigations, OTR's, and other law-related services provided to Licensed Professionals.

The base salary for this position is $75,000, with an expected commission of approximately $10,000 based on the initial caseload, bringing the total starting compensation to around $85,000.

Essential Functions:

Work with a team of Compliance Analysts to assist client RIAs with firm set up and Ongoing Compliance.
Draft client documents including Regulatory filings and Agreements, such as Service Agreements and Business Purchase Agreements.
Represent Financial Advisors in regulatory matters.
Prepare clients for and represent them in regulatory proceedings.
Foster and cultivate strong client relationships through consistent communication, with a focus on making value-add recommendations of additional solutions A Leading Full-Service Firm may provide.
Delegate tasks to team members to comply with all deadlines.
Manage and monitor all assigned matters.
Help identify processes and procedures that improve efficiency and cost savings.
Conduct or supervise legal/regulatory research.
Affiliate Of Counsel with outside law firm for specific client cases.
Perform other duties as assigned by the Managing Associates and President & Founder.

Qualifications & Skills:

Juris Doctor Degree from an accredited law school
Active Admission with any state bar in the U.S.
Must have willingness and curiosity to learn the nuances of the Financial Services Industry.
Must be team-oriented and have a desire and mindset to work in a fast-paced startup operation.
Must have the ability to apply logical thinking to define problems, collect data, and draw valid conclusions.
Must take responsibility for quality of work product and advice given to firm clients.
Excellent verbal and written communication skills, with demonstrated ability to articulate relevant information in a concise manner.
Demonstrated ability to work independently with minimal supervision.
Exceptional interpersonal skills with experience working with diverse teams.
Self-starter, proactive, creative thinker, problem solver, positive attitude.
Strong attention to detail, organizational, and time management skills.
High level of integrity, and respect for confidential and sensitive information.