Headquartered in Broomfield, Colorado, AdvisorLaw provides nationwide representation to hundreds of financial advisors and wealth managers. We only advocate on behalf of the interests of the advisors – never for the investor or broker dealer. Many of AdvisorLaw’s clients are motivated to call us to handle the reporting or removal of customer dispute disclosures, allegations after separation language for compliance, increased book valuation, recruiting reasons or to avoid FINRA fines, suspensions, license revocations, and more. For the Investment Advisor division, we work to help our client firm’s stay in compliance with all of the many rules and regulations of the many regulatory bodies. Our M&A division helps connect financial professionals who want to sell their book of business with those who are in the market to purchase.

AdvisorLaw is a fast-growing company seeking individuals who enjoy doing impactful work in a relaxed business environment.

AdvisorLaw is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability, protected veteran status or any other status protected by applicable law.

POSITION SUMMARY:

The position is for a transactional attorney who will provide guidance and regulatory advice to and draft filings for financial professionals who seek to start their own Registered Investment Advisory (“RIA”) firm and draft a variety of contracts for existing RIAs.

ESSENTIAL FUNCTIONS:

• Work with a team of Compliance Analysts to assist client RIAs with firm set up.
• Draft client documents including Regulatory filings and Agreements, such as Service Agreements and Business Purchase Agreements, as well as corporate governance documents.
• Foster and cultivate strong client relationships through consistent communication, with a focus on making value-add recommendations of additional solutions AdvisorLaw may provide.
• Delegate tasks to production team members to comply with all deadlines.
• Manage and monitor all assigned matters.
• Help identify processes and procedures that improve efficiency and cost savings.
• Conduct or supervise legal/regulatory research.
• Affiliate Of Counsel with outside law firm for specific client matters.
• Perform other duties as assigned by the Managing Associates and President & Founder.

QUALIFICATIONS & SKILLS:

· Juris Doctor Degree from an accredited law school

· Active Admission with any state bar in the U.S.

· Willingness to learn the nuances of the Financial Services Industry.

· Exceptional interpersonal skills to help clients feel confident and at ease.

· Must be team-oriented and have a desire and mindset to work in a fast-paced startup operation.

· Can apply logical thinking to define problems, collect data, and draw valid conclusions.

· Excellent verbal and written communication skills, with demonstrated ability to articulate relevant information in a concise manner.

· Demonstrated ability to work independently with minimal supervision.

· Self-starter, proactive, creative thinker, problem solver, positive attitude.

· Strong attention to detail, organizational, and time management skills.

· High level of integrity, and respect for confidential and sensitive information.

CULTURE/ENVIRONMENT:

· Casual, fun, drama-free work environment.

· Frequent computer work at a fast pace in a normal office environment.

· Flex-time between 6 am and 6 pm, Monday through Friday.

· Some remote work but must be able to work in office at least 2 days per week.

PHYSICAL DEMANDS

· Mobility among workstations.

· Lifting office supplies and setting up workstations (if necessary).

· ADA: AdvisorLaw will make reasonable accommodations in compliance with the Americans with Disabilities Act of 1990.

BENEFITS & PERKS

· Performance bonuses.

· 15 days PTO per calendar year plus 9 Holidays.

· Flexible work hours.

· No cost gym membership to Vasa.

· 401(k) Retirement Savings & Employer Match (eligibility after 1 year of employment).

The application deadline for this position is June 28, 2024.

Job Type: Full-time

Pay: $90,000.00 - $100,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Flexible schedule
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Application Question(s):

• In what state are you licensed to practice law?

Work Location: Hybrid remote in Broomfield, CO 80021