Missouri Licensed Financial Services Attorney

Job Summary

A company is looking for a Financial Services Attorney to work on regulatory and compliance matters for financial services clients.

Key Responsibilities

• Advise clients on federal and state laws and regulations applicable to financial services
• Support regulatory examinations, inquiries, and audits
• Collaborate with compliance, risk, and business teams on regulatory questions

Required Qualifications

• Licensed to practice law and in good standing in the state of residence
• At least 5 years of experience in financial services regulatory and compliance matters
• Experience with broker-dealers, investment advisers, or wealth management firms
• Familiarity with SEC, FINRA, and state securities regulations
• J.D. from an accredited law school