Financial Innovation & Regulation Securities Associate

Steptoe LLP; Washington (District of Columbia); On-site; USD 180,000 - 250,000; Full time

Job summary

Steptoe LLP in Washington, DC, seeks an attorney for its Financial Innovation & Regulation practice within Government Affairs and Public Policy. The role focuses on counseling clients on securities laws and regulations across broker-dealers, investment advisers, funds, platforms, and other financial services firms.

Preferred experience includes advising on SEC and FINRA requirements, registrations, examinations, enforcement actions, and product-related regulatory analysis.

Qualifications

• Experience counseling clients on securities laws and regulations.
• Experience advising on broker-dealers, investment advisers, private funds, trading platforms, and other financial services firms.
• Familiarity with SEC and FINRA regulatory requirements, registrations, examinations, and enforcement actions.
• Experience handling securities-related digital asset matters, including tokenization and applying federal securities laws to digital asset products and platforms.

Responsibilities

• Counsel clients on securities laws and regulations in varied matters.
• Provide regulatory analysis for products and platforms in the financial services space.
• Assist with registrations, examinations, and enforcement actions as needed.

Skills

Securities Regulation

SEC/FINRA experience

Digital assets

Regulatory counseling

Job description

Overview

• The role is within the firm’s Financial Innovation & Regulation practice, part of the Government Affairs and Public Policy group.
• Candidates should have experience counseling clients on securities laws and regulations, including matters involving broker-dealers, investment advisers, private funds, trading platforms, and other financial services firms.
• Preferred experience includes advising on SEC and FINRA regulatory requirements, securities compliance, registrations, examinations, enforcement actions, and transactional or product-related regulatory analysis.
• The position requires experience advising on securities-related digital asset matters, including tokenization, and familiarity with applying federal securities laws to digital asset products, platforms, and transactions.
• Prior law firm experience is strongly preferred.