Securities Legal Counsel

Job Summary

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