Corporate Counsel, Broker-Dealer & Investment Adviser
Core
In-house counsel providing legal support to a dually-registered broker-dealer and registered investment adviser.
Role type
In-house corporate counsel (financial services)
Builds
Legal documents, opinions, and regulatory compliance strategies for broker-dealer and RIA operations
Domain
Financial services / Securities regulation
Required skills
Legal document drafting, legal research, regulatory analysis, risk identification, policy development, matter management
Preferred skills
Securities law expertise, FINRA/SEC regulations knowledge, complex product line advisory, large financial services experience
Technologies
SEC rules, FINRA regulations, state securities laws
Responsibilities
Draft and review contracts and disclosures for broker-dealer/RIA products; prepare legal opinions on SEC/FINRA/state laws; identify regulatory gaps and recommend policy improvements; assist with escalated risk issues; manage outside counsel billing; support senior attorneys.
Seniority
Mid-level, hands-on IC
