Corporate and Financial Services Attorney

Job Overview:
A law firm seeks an experienced attorney specializing in corporate, securities, and financial services law to join its San Diego office. This position offers a partnership track opportunity and involves advising a diverse clientele, including broker-dealers, investment advisory firms, registered representatives, hedge funds, and private equity firms. The ideal candidate will provide legal counsel on SEC, FINRA, and regulatory compliance matters, ensuring adherence to federal securities laws and industry regulations.

Duties:

• Provide legal guidance on corporate, securities, and financial services regulations, including compliance with SEC, FINRA, and related regulatory bodies.

• Advise clients on matters related to the Investment Advisers Act of 1940, the Securities Act of 1933, and the Investment Company Act of 1940.

• Assist clients in navigating complex securities transactions and regulatory filings.

• Counsel investment firms on fund formation, governance, and operational compliance.

• Represent clients in corporate structuring, mergers, acquisitions, and other business transactions.

• Draft and review legal documents, including contracts, disclosures, and regulatory filings.

• Stay informed on evolving financial regulations and provide proactive compliance strategies.

• Collaborate with internal teams to support clients’ legal and business objectives.

Requirements:

• Experience in corporate, securities, and financial services law.

• Expertise in SEC regulations, FINRA compliance, and investment industry laws.

• Strong background in advising financial firms, investment advisors, and fund managers.

• Ability to manage multiple clients and complex regulatory matters effectively.

• Exceptional legal research, writing, and analytical skills.

• Strong communication and negotiation skills to effectively represent clients.

Education:

• Juris Doctor (JD) from an accredited law school.

Certifications:

• Active member in good standing with the California State Bar.

Skills:

• In-depth knowledge of federal securities laws and regulatory frameworks.

• Strong problem-solving and strategic thinking abilities.

• Ability to work collaboratively in a fast-paced legal environment.

• Detail-oriented with excellent organizational and time-management skills.

Benefits:

• 401(k) retirement plan.

• Comprehensive health, dental, and vision insurance.

• Paid time off and vacation benefits.

• Collaborative work environment with a transparent and supportive team.

Location:

• San Diego, CA (In-person).

This is a specialty law firm with a national practice focused in the areas of securities, corporate finance and business law.