What are the responsibilities and job description for the Midlevel Securities Compliance Attorney position at My RIA Lawyer?
Are you someone not afraid to push back to zealously advocate for your client? Are you someone who balances serious dedication with a lively personality?
We’re looking for someone who brings charisma and enthusiasm to their work. Clients are among the brightest in the industry, and they seek to collaborate with exceptional people. We’re a vibrant team committed to achieving impressive results, enabling those in finance to excel at what they do best—helping others achieve their ROI.
Do you have at least 5 years of experience as an attorney? Have you worked in a law firm and understand what it takes to be an attorney? Do you handle specialized tasks with efficiency, confidence, and skill? Are you known for your meticulous attention to detail, your commitment to accuracy, and your reliability in meeting deadlines? Do you understand accountability without the need for micro-management? Do you take your work seriously, possess a strong sense of responsibility, and maintain a disciplined approach? If you thrive in a fast-paced environment and enjoy diving into intricate, specialized work, we’d love to hear from you.
Compensation :
95,000 - $155,000 annually
Responsibilities :
- Maintain client files in an organized fashion to ensure up-to-date information is handy for other attorneys, paralegals and support staff
- Create legal documents, including correspondence, briefs, motions, pleadings, contracts, affidavits, and settlement agreements for contract negotiations and proceedings
- Assist clients in determining a proper solution to legal conflicts and determine the best course of action
- Attend court hearings or other legal proceedings, perform legal research, and work with senior associate attorneys to provide legal advice
- General Counsel for BD and RIAs
- Regulatory defense
- Drafting ADV, SOP, and various other compliance documents
- Analyzing and advising on compliance and regulatory matters that affect broker-dealers and registered investment advisers
- Preparing, reviewing. & revising contracts, including registered representative and IAR contracts and agreements with third parties
- Interacting with clients to provide direction and legal counsel on related issues
- Assessing a variety of legal documents and suggesting changes
- Negotiating with other entities to resolve differences
- Delegating / Supervising the work of specialized paralegals and other staff / analysts
- Formulating strategies for representing clients and taking ownership of such
- Examining and providing guidance on compliance and regulatory matters for broker-dealers and registered investment advisers
- Connecting with clients to offer guidance and legal counsel on related issues
- Assessing legal paperwork and suggesting modifications
- Negotiating with external entities to settle disputes
- Developing methods of representing clients and taking complete ownership
- Acting as Chief Compliance Officer for clients, as needed
Qualifications :
About Company
About Us :
We are a forward-thinking and innovative law firm that believes in making a meaningful impact on clients' lives. We have a strong team that works well together, and we're committed to maintaining a positive and supportive work culture.
Join Our Growing Team :
At our law firm, you won't just be an employee; you'll be part of a team that values growth, learning, and camaraderie. We take pride in the work we do and the difference we make in clients' lives.
Don't Miss Out :
Seize the opportunity to be part of something extraordinary! Apply now and take your career to new heights. Let's make a difference together!
Salary : $95,000 - $155,000