TalentBridge
Executive Recruiter | Accounting & Finance Technical Search
Focus: Brokerage & Advisory Legal
An established financial services firm is seeking an experienced attorney to provide legal and regulatory support to its brokerage and advisory businesses. This role partners closely with business leadership on strategic initiatives and regulatory matters.
Responsibilities Provide day‑day legal advice related to brokerage and investment advisory operations Support business development initiatives, platform expansion, and affiliation models Assist with internal M&A transactions and regulatory engagement Draft and revise client agreements, disclosures, and regulatory filings Collaborate cross‑functionally with compliance, risk, and business teams
Ideal Profile 5+ years of experience advising on securities laws and regulations (Exchange Act, Advisers Act, FINRA) Strong legal writing and analytical skills Experience supporting broker‑dealers, RIAs, or financial services platforms Transactional or M&A experience is a plus Ability to work independently in a high‑volume, deadline‑driven environment
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Legal
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An established financial services firm is seeking an experienced attorney to provide legal and regulatory support to its brokerage and advisory businesses. This role partners closely with business leadership on strategic initiatives and regulatory matters.
Responsibilities Provide day‑day legal advice related to brokerage and investment advisory operations Support business development initiatives, platform expansion, and affiliation models Assist with internal M&A transactions and regulatory engagement Draft and revise client agreements, disclosures, and regulatory filings Collaborate cross‑functionally with compliance, risk, and business teams
Ideal Profile 5+ years of experience advising on securities laws and regulations (Exchange Act, Advisers Act, FINRA) Strong legal writing and analytical skills Experience supporting broker‑dealers, RIAs, or financial services platforms Transactional or M&A experience is a plus Ability to work independently in a high‑volume, deadline‑driven environment
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Legal
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