Midlevel Securities Compliance Attorney

Job Overview:
A law firm seeks a dedicated and experienced Midlevel Securities Compliance Attorney to join its team. This role is ideal for a legal professional who excels in regulatory compliance, risk management, and corporate governance within the financial services sector. The firm provides strategic counsel to clients in investment advisory, broker-dealer compliance, and regulatory defense. This is a remote opportunity based in Atlanta, GA, with occasional travel as needed.

Duties:

• Serve as General Counsel for broker-dealers (BDs) and registered investment advisers (RIAs)

• Provide regulatory defense and strategic legal counsel

• Draft and review ADV filings, Standard Operating Procedures (SOPs), and other compliance documents

• Analyze and advise on compliance and regulatory issues impacting broker-dealers and RIAs

• Prepare, review, and revise contracts, including registered representative agreements and third-party contracts

• Offer guidance to clients on complex compliance matters and legal risks

• Assess and suggest modifications for legal documents to align with current regulations

• Negotiate resolutions with regulatory bodies and third-party entities

• Oversee and delegate tasks to specialized paralegals and compliance analysts

• Develop legal strategies for client representation and ensure execution

• Act as Chief Compliance Officer for clients as required

Requirements:

• Minimum of 5-10 years of legal experience in financial services, preferably in an investment firm or a law firm specializing in RIA and BD clients

• Strong background in SEC, FINRA, and state securities regulations (licensure preferred but not mandatory)

• Extensive knowledge of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, state securities laws, and self-regulatory organization (SRO) rules

• Ability to manage multiple clients and deadlines in a fast-paced environment

• Excellent problem-solving and critical-thinking skills

• Strong communication and negotiation abilities

Education:

• Juris Doctor (J.D.) degree from an accredited law school

Certifications:

• Active membership in good standing with the state bar

Skills:

• Exceptional legal research and writing abilities

• High attention to detail and strong organizational skills

• Ability to delegate and oversee tasks efficiently

• Strong interpersonal skills to collaborate with senior management and clients

• Experience handling complex regulatory issues and compliance matters

Benefits:

• 401(k) retirement plan

• Paid holidays

• Opportunities for career advancement

• Supportive and collaborative work environment

This position offers a unique opportunity for an attorney looking to grow within the securities compliance sector while working with a dynamic legal team. Apply now to be part of an innovative firm dedicated to client success.