My RIA Lawyer
Are you a recent law school graduate looking to work with experienced attorneys and paralegals who will give you opportunities to further your legal career? If so, we are looking for you! Our firm is hiring an associate attorney who will support us by conducting legal research, drafting documents, maintaining client files, and assisting with legal counsel.
The ideal candidate will have some courtroom experience and strong legal research and writing skills. If you’re ready to jump-start your growth in the industry and learn how to strategize in the courtroom to successfully represent clients, reach out to us today!
Responsibilities:
Maintain client files in an organized fashion to ensure up-to-date information is available for attorneys, paralegals, and support staff. Analyze conflicts in legal matters, advise clients on solutions, and negotiate on their behalf. Resolve cases efficiently by communicating effectively and collaborating with senior attorneys and paralegals. Conduct legal research, prepare for and attend hearings and legal proceedings, and provide legal counsel with the help of senior associate attorneys. Prepare correspondence and legal documents such as contracts, pleadings, briefs, affidavits, motions, and settlement agreements. Job Expectations for General Counsel (BD and RIAs):
Regulatory Defense & Compliance Oversight:
Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA). Advise on compliance with relevant laws, rules, and regulations. Drafting and Reviewing Compliance Documents:
Draft and revise key compliance documents, including Form ADV, SOPs, and legal agreements. Prepare and review contracts. Regulatory Analysis & Advisory:
Analyze and advise on complex compliance and regulatory issues. Interpret regulatory changes to ensure client compliance. Client Interaction & Legal Counsel:
Interact with clients to provide proactive legal counsel and guidance on compliance and risk mitigation. Legal Document Review & Recommendations:
Review legal documents and recommend changes to protect client interests, ensuring regulatory compliance. Negotiation & Dispute Resolution:
Lead negotiations to resolve legal disputes and conflicts effectively. Team Leadership & Supervision:
Delegate tasks and supervise legal staff and analysts to ensure high-quality output. Strategic Representation & Ownership:
Develop and execute legal strategies, taking ownership of legal matters and long-term risk mitigation. Chief Compliance Officer Role (As Needed):
Oversee compliance programs, ensuring adherence to standards and regulations. Qualifications:
Effective communication and problem-solving skills. Passed the bar exam and active ABA membership. J.D. from an accredited law school. Willingness to learn from senior attorneys and grow client relationships. Qualifications for General Counsel (BD and RIAs):
5-10 years of legal experience in financial services, preferably with an investment firm or law firm serving RIA and BD clients. Knowledge of SEC, FINRA, and state regulations; licensure is a plus. Deep understanding of Investment Advisers Act, Securities Exchange Act, and related laws. Strong writing, organizational, leadership, analytical, interpersonal, and teamwork skills. Flexibility and ability to manage high-pressure situations. Compensation:
$95,000 - $155,000 annually
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Maintain client files in an organized fashion to ensure up-to-date information is available for attorneys, paralegals, and support staff. Analyze conflicts in legal matters, advise clients on solutions, and negotiate on their behalf. Resolve cases efficiently by communicating effectively and collaborating with senior attorneys and paralegals. Conduct legal research, prepare for and attend hearings and legal proceedings, and provide legal counsel with the help of senior associate attorneys. Prepare correspondence and legal documents such as contracts, pleadings, briefs, affidavits, motions, and settlement agreements. Job Expectations for General Counsel (BD and RIAs):
Regulatory Defense & Compliance Oversight:
Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA). Advise on compliance with relevant laws, rules, and regulations. Drafting and Reviewing Compliance Documents:
Draft and revise key compliance documents, including Form ADV, SOPs, and legal agreements. Prepare and review contracts. Regulatory Analysis & Advisory:
Analyze and advise on complex compliance and regulatory issues. Interpret regulatory changes to ensure client compliance. Client Interaction & Legal Counsel:
Interact with clients to provide proactive legal counsel and guidance on compliance and risk mitigation. Legal Document Review & Recommendations:
Review legal documents and recommend changes to protect client interests, ensuring regulatory compliance. Negotiation & Dispute Resolution:
Lead negotiations to resolve legal disputes and conflicts effectively. Team Leadership & Supervision:
Delegate tasks and supervise legal staff and analysts to ensure high-quality output. Strategic Representation & Ownership:
Develop and execute legal strategies, taking ownership of legal matters and long-term risk mitigation. Chief Compliance Officer Role (As Needed):
Oversee compliance programs, ensuring adherence to standards and regulations. Qualifications:
Effective communication and problem-solving skills. Passed the bar exam and active ABA membership. J.D. from an accredited law school. Willingness to learn from senior attorneys and grow client relationships. Qualifications for General Counsel (BD and RIAs):
5-10 years of legal experience in financial services, preferably with an investment firm or law firm serving RIA and BD clients. Knowledge of SEC, FINRA, and state regulations; licensure is a plus. Deep understanding of Investment Advisers Act, Securities Exchange Act, and related laws. Strong writing, organizational, leadership, analytical, interpersonal, and teamwork skills. Flexibility and ability to manage high-pressure situations. Compensation:
$95,000 - $155,000 annually
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