What are the responsibilities and job description for the Managing Attorney Compliance - (REMOTE) #ESF5460 position at ExpertHiring?
Job Description
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.
Job Type : Full Time
Location : Alpharetta, Georgia
Pay : Competitive Pay & Benefits!
Job Description
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 :
Our client asked me to submit 3 great people within the next few days. We work directly with the hiring manager and can arrange interviews within a few days
INDEH123
Salary : $165,000 - $200,000
