Managing Attorney - Compliance

January 27

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ExpertHiring

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ExpertHiring is a premier headhunting service specializing in connecting top talent, referred to as 'Rockstars', with clients across various industries. Utilizing a proprietary Area Talent Map™ technology, they conduct comprehensive market searches to identify the best qualified candidates beyond traditional job boards. Their focus is on efficient talent pairing, ensuring clients are presented with the top 10% of candidates to meet their specific needs, ultimately saving time and resources in the hiring process.

Staffing & Recruiting

51 - 200 employees

Founded 2012

🎯 Recruitment

🤝 B2B

👥 HR Tech

📋 Description

• Top Reasons to work with our client: • 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 third-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 alterations 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. • Mentoring and guiding compliance attorneys.

🎯 Requirements

• 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. • 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 preferred (including 7, 24, 53).

🏖️ Benefits

• Specialized Expertise : Be part of a firm focused on financial and compliance law. • Professional Growth : Opportunities to expand your knowledge and skills in the RIA industry. • Supportive Culture : Work in a collaborative and team-oriented environment. • Client Impact : Help clients navigate complex legal and regulatory matters. • Dynamic Work Environment : Engage in diverse and challenging legal cases. • Career Development : Benefit from mentorship and training programs.