Senior Attorney
My RIA Lawyer
Remote
Posted ago
My RIA Lawyer

Our growing firm is seeking a well-qualified senior compliance attorney who can handle a heavy caseload, work independently, and provide securities compliance expertise to clients. To be considered, you should have solid RIA and BD compliance experience and be willing to mentor and train our compliance staff. Your excellent communication and writing skills will come in handy as you thoughtfully position clients toward customized compliance programs that pass regulatory muster. Reach out to us today if this opportunity sounds ideal for you.

Responsibilities

This is a full-time associate attorney position. This position may be filled remotely and the ideal candidate has 5-9 years of experience in the financial services industry serving broker-dealers and registered investment advisers:

  • 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 3rd party contracts
  • Engaging with clients on a regular basis and providing legal advice on a variety of compliance and regulatory issues
  • Analyzing and summarizing complicated legal documents, including contracts, and suggesting alternations to those documents
  • Analyzing compliance and regulatory issues affecting the BD and RIA clients
  • Managing a team of compliance managers and analysts to ensure high quality delivery of subscription compliance services to clients

Qualifications
  • Five years of experience as a senior associate in the legal industry
  • Excellent time management and interpersonal skills are required, as well as persuasive writing and verbal communication skills
  • Work independently while handling a heavy caseload
  • Applicants must have trial, mediation, and arbitration representation experience
  • Active member in good standing with local and state bar associations

  • Must have Bachelor’s Degree, J.D., and be admitted to practice in a primary jurisdiction.
  • Minimum of 7 to 10 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 DOL, SEC, FINRA, ERISA and the Internal Revenue Code
  • 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
  • Ability to engage in complex legal analyses
  • Should have 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
  • Position requires some travel (subject to pandemic-related travel restrictions)

Compensation
$125,000 - $175,000 yearly
About My RIA Lawyer

My RIA Lawyer is a securities law firm helping advisers and financial services companies navigate the legal complexities of the securities world. The Firm is based in Atlanta, GA with a mission to help financial services firms avoid costly and mentally and emotionally draining regulatory fights by implementing robust compliance programs and defending them in state and federal investigations and enforcement actions. We have been recognized as one of the fastest-growing law firms in the country by Law Firm 500. We are a mission-oriented company (with killer benefits).

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