What are the responsibilities and job description for the Managing Attorney Compliance position at Enduring Solutions?
THIS IS A REMOTE POSITION - Can be in any state so long as you are licensed in good standing with a state bar. As an east coast-based firm, they have preference for candidates to be within EST or CST. Our client would only consider MST if you are amazing. PST generally does not work.
Top Reasons to work with our client:
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.
What you will be doing:
- 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
Experience you will need:
- 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)
