Midlevel Securities Compliance Attorney

BCG Attorney Search; Atlanta (GA); Remote; USD 100,000 - 150,000; Full time

Job summary

A leading law firm is seeking a Midlevel Securities Compliance Attorney to join its remote team in Atlanta, GA. The role involves providing regulatory counsel, managing compliance issues for clients in the financial services sector, and overseeing legal strategies. Ideal candidates will have extensive experience in securities regulations and a strong legal background.

Benefits

Paid holidays

Career advancement opportunities

Supportive work environment

Qualifications

• Minimum 5-10 years of legal experience in financial services.
• Strong background in SEC, FINRA, and state securities regulations.
• Active membership in good standing with the state bar.

Responsibilities

• Serve as General Counsel for broker-dealers and registered investment advisers.
• Draft and review compliance documents and contracts.
• Provide regulatory defense and strategic legal counsel.

Skills

Legal research

Regulatory compliance

Negotiation

Problem-solving

Communication

Education

Juris Doctor (J.D.)

Job description

Job Overview:
A law firm seeks a dedicated and experienced Midlevel Securities Compliance Attorney to join its team. This role is ideal for a legal professional who excels in regulatory compliance, risk management, and corporate governance within the financial services sector. The firm provides strategic counsel to clients in investment advisory, broker-dealer compliance, and regulatory defense. This is a remote opportunity based in Atlanta, GA, with occasional travel as needed.

Duties:

1. Serve as General Counsel for broker-dealers (BDs) and registered investment advisers (RIAs)
2. Provide regulatory defense and strategic legal counsel
3. Draft and review ADV filings, Standard Operating Procedures (SOPs), and other compliance documents
4. Analyze and advise on compliance and regulatory issues impacting broker-dealers and RIAs
5. Prepare, review, and revise contracts, including registered representative agreements and third-party contracts
6. Offer guidance to clients on complex compliance matters and legal risks
7. Assess and suggest modifications for legal documents to align with current regulations
8. Negotiate resolutions with regulatory bodies and third-party entities
9. Oversee and delegate tasks to specialized paralegals and compliance analysts
10. Develop legal strategies for client representation and ensure execution
11. Act as Chief Compliance Officer for clients as required

Requirements:

1. Minimum of 5-10 years of legal experience in financial services, preferably in an investment firm or a law firm specializing in RIA and BD clients
2. Strong background in SEC, FINRA, and state securities regulations (licensure preferred but not mandatory)
3. Extensive knowledge of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, state securities laws, and self-regulatory organization (SRO) rules
4. Ability to manage multiple clients and deadlines in a fast-paced environment
5. Excellent problem-solving and critical-thinking skills
6. Strong communication and negotiation abilities

Education:

• Juris Doctor (J.D.) degree from an accredited law school

Certifications:

• Active membership in good standing with the state bar

Skills:

• Exceptional legal research and writing abilities
• High attention to detail and strong organizational skills
• Ability to delegate and oversee tasks efficiently
• Strong interpersonal skills to collaborate with senior management and clients
• Experience handling complex regulatory issues and compliance matters

The mention of paid holidays, career advancement opportunities, and a supportive work environment can be included briefly at the end, but irrelevant content such as the Comcast description and Internal Medicine openings should be removed for clarity and focus.