Securities Legal Counsel

A company is looking for a Securities Legal Counsel.

Key Responsibilities

Draft, review, and maintain advisory client agreements, disclosures, and regulatory documents for RIA services

Provide legal counsel on the Advisers Act and related securities laws, including fiduciary duty and advertising rules

Support litigation, regulatory inquiries, and compliance efforts while conducting legal research on regulatory developments

Required Qualifications, Training, and Education

Juris Doctorate from an ABA-accredited law school

Member in good standing of at least one state bar

Minimum 3 years of experience advising on the Advisers Act and securities regulatory matters

Strong understanding of ERISA and fiduciary governance principles

Experience with the Exchange Act, FINRA regulations, and cybersecurity / legal privacy frameworks is preferred