Description:

Do you manage specialized work efficiently, with confidence and competence? Do you have above-average attention to detail, concern for the exact correctness of work, and a strong commitment to tasks completed on time? Do you take work seriously, have a strong sense of duty, and are disciplined? Do you work at a somewhat faster-than-average pace and enjoy focusing on detailed, specialized work? In this position, you will have clearly defined work, responsibilities, and reporting relationships, ongoing and thorough training opportunities to develop expertise and increase confidence, and frequently expressed appreciation of your competence, conscientiousness, and loyalty.

Responsibilities:
This position may be filled remotely and the ideal candidate has 10-15 years of experience in the financial services industry serving broker-dealers and registered investment advisers:

Providing compliance support and advice to BDs and RIAs
Drafting and reviewing Form ADV, policies and procedures, registered representative and IAR contracts, vendor contracts, and other 3rd party contracts
Engaging with clients on a regular basis and providing legal advice on a variety of compliance and regulatory issues
Analyzing, summarizing, and preparing complicated legal documents, including contracts, and suggesting alternations to those documents
Negotiating with outside parties on contractual issues and legal disputes
Defending industry professionals in FINRA, AAA, and JAMS arbitrations
Defending industry professionals and firms in FINRA, SEC, and state Enforcement matters.
Analyzing compliance and regulatory issues affecting the BD and RIA clients and providing framework and counsel for compliance with such rules and regulations

Qualifications:

Must have a Bachelor's Degree, J.D., and be admitted to practice in a primary jurisdiction
Minimum of 10 to 15 years of financial services-related legal experience, preferably in a financial services complex or a law firm working with RIA and BD clients
Focused experience as an attorney working with SEC, FINRA, and state rules and regulations
Knowledge preferred of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the rules and regulations of self-regulatory organizations, state securities laws, and basic corporate law principles
Strong writing and organizational skills
Ability to engage in complex legal analyses
Should have good interpersonal skills and ability to interact with senior management as well as adaptability and willingness to take on a wide variety of new tasks
Ability to present to financial professionals
The position requires some travel
FINRA licenses are required (including 7, 24, 53)