RIA Compliance Counsel & Strategic Advisor

My RIA Lawyer; Atlanta (GA); On-site; USD 180,000 - 260,000; Full time

Benefits offered by this job

Flexible remote work environment

Job summary

My RIA Lawyer seeks an experienced RIA Compliance Attorney to guide investment advisers and compliance professionals through regulatory challenges and practical legal strategies. You will serve as a trusted advisor, interpreting securities laws and shaping robust compliance programs for clients nationwide.

You will collaborate with firm owners and compliance professionals to prepare for examinations, respond to inquiries, and advise on mergers, fund matters, and governance.

Qualifications

• Juris Doctor (JD) from an accredited law school and active U.S. state bar admission.
• 5+ years of experience with Registered Investment Advisers, broker-dealers, or financial services law firms.
• Strong knowledge of Investment Advisers Act of 1940, SEC guidance, and Form ADV requirements.

Responsibilities

• Advise SEC and state-registered investment advisers on regulatory, compliance, and operational matters.
• Interpret and apply federal and state securities laws and guidance.
• Provide analysis regarding fiduciary duties, conflicts of interest, disclosures, and compliance programs.
• Draft memos, regulatory interpretations, and client guidance.
• Oversee outsourced CCO engagements and remediation of deficiencies.
• Assist in development and enhancement of compliance programs.
• Support formation, registration projects, and advisory agreements.

Skills

Regulatory expertise

Client advisory

Analytical thinking

Written communication

Industry knowledge

Education

Juris Doctor (JD)

Job description

My RIA Lawyer seeks an experienced RIA Compliance Attorney to guide investment advisers and compliance professionals through regulatory challenges and practical legal strategies. You will serve as a trusted advisor, interpreting securities laws and shaping robust compliance programs for clients nationwide.

You will collaborate with firm owners and compliance professionals to prepare for examinations, respond to inquiries, and advise on mergers, fund matters, and governance.