Securities Legal CounselVirtualVocations • Yonkers, New York, United States
Securities Legal Counsel
VirtualVocations • Yonkers, New York, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
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
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Legal Counsel • Yonkers, New York, United States
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