Description:

Job Description:
At A Full-Service Law Firm, we are looking to add a Partner with 6-8 years of experience in Capital Markets to our Transactional team. The attorney will serve as a business advisor to clients, guiding them on compliance with securities laws, managing public and private offerings, and navigating complex capital markets transactions. The attorney serves as a strategic advisor to clients, often working closely with corporate executives, investment bankers, and regulators.

Key Responsibilities:

Provide day-to-day legal and compliance advice to broker-dealers, RIAs, and private funds.
Act as underwriters counsel on public and private offerings.
Interpret and apply federal securities laws, including the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and Investment Company Act of 1940.
ADV/Form BD/Form PF filings, and ongoing disclosure obligations.
Review and draft compliance policies and procedures, codes of ethics, and supervisory systems.
Counsel on marketing and advertising regulations, including SEC Marketing Rule and FINRA Rule 2210.
Advise on custody, valuation, and conflicts of interest, particularly for private funds.
Assist with regulatory exams, inquiries, and enforcement matters involving the SEC, FINRA, and state regulators.
Conduct internal investigations and risk assessments.
Advise on new rule implementations (e.g., Form CRS, Reg BI, private fund adviser reforms).
Collaborate with internal stakeholders or external clients on compliance training and best practices.
Corporate Governance - Counseling clients on corporate governance best practices and compliance frameworks.
Mentorship and Oversight - Supervising junior attorneys and paralegals, providing guidance and quality control on work product.
A portable book of business is preferred but not required.

Job Requirements:
The Company:
This is an opportunity to work with the Best. We are A Full-Service Law Firm. We are a full-service law firm with more than 350 lawyers and technical professionals who work in collaborative, interdisciplinary practices to serve clients around the world. We work with companies in all kinds of industries, as well as trade associations, nonprofits, educational institutions, governments, family trusts, and high-net-worth individuals. Since our firm's founding in 1848, we've continuously evolved to meet our clients' changing needs and expectations. One thing remains the same: For generations, clients have relied on A Full-Service Law Firm for exceptional legal service and business acumen.

The Location:
We have offices in Wisconsin (Milwaukee, Madison, Manitowoc, Waukesha); Illinois (Chicago); Utah (Cottonwood Heights, Salt Lake City); Colorado (Denver, Broomfield); Texas (Austin); and North Carolina (Charlotte, Raleigh, Wilmington); California (Los Angeles); Nebraska (Lincoln) and Washington D.C. Our contemporary offices spaces are ideal for concentration and collaboration supporting our culture of working together to make great things happen for our clients. This position can be in any of our offices.

Bring Your Best
Our ideal candidate must have deep experience in corporate transactions, value an environment where everyone is treated with mutual support and respect and be a self-starter who possesses the ability to work both independently and as part of a team.

Knowledge Base & Education:

J.D. from an ABA accredited law school
Excellent academic credentials
At least 6-8 years of capital markets experience

Adaptability:

Ability to learn and embrace new skills and best practices as the position evolves and Firm needs change
Ability to work well under pressure and meet tight deadlines
Ability to work well independently as well as effectively within a team

Collaboration:
Ability to develop relationships and foster teamwork at all levels of the Firm

Communication:

Excellent interpersonal skills and ability to work effectively with a diverse group of internal and external clients, attorneys, and staff
Excellent oral and written communication skills
Ability to manage confidential information and sensitive situations with tact and discretion
Excellent drafting and negotiation skills

Problem Solving Skills:

Ability and confidence to identify and analyze issues, make decisions, and initiate actions/solutions.
Agility to respond to unexpected challenges, including proactively developing innovative solutions to complex problems while maintaining a professional demeanor.

Professionalism:
Ability to maintain composure and demonstrate good judgment.

Other:

Valid authorization to work in the U.S.