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Securities Attorney

Atlanta, GA
Full Time
Exp.: 3 - 5 Years Salary: $45 - $55 Hourly
This is a part-time, remote, contract position that can grow to full time with the right candidate. This position offers flexibility and the ideal candidate has 3-5 years of experience as a securities attorney working predominately with registered investment advisers. This position is ideal for a person who loves to work on the material and is not as interested in client interaction.

The ideal candidate has experience:
  • providing compliance support and advice to registered investment advisers
  • drafting and reviewing Form ADV, policies and procedures, registered representative and IAR contracts, vendor contracts, and other 3rd party contracts
  • researching and analyzing the law on complex issues
  • synthesizing legal research and analysis into a coherent written memo for submission to client or arbitrator
  • analyzing and summarizing complicated legal documents, including contracts, and suggesting alternations to those documents
  • negotiating with outside parties on contractual issues and legal disputes
  • defending industry professionals in arbitrations
  • analyzing compliance and regulatory issues affecting RIA clients
  • interacting with state and federal regulators during examinations, in negotiations and in Enforcement actions

  • Must have Bachelor’s Degree, J.D., and be admitted to practice in State of Georgia
  • Minimum of three to five years corporate legal experience, preferably in a financial services complex or a law firm working with registered investment advisers
  • Focused experience as an attorney working with the SEC, state securities commissions and Enforcement
  • Knowledge preferred of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the rules and regulations of self-regulatory organizations, state securities laws, and basic corporate law principles
  • Strong writing and organizational skills
  • Attention to detail
  • Ability to engage in complex legal analyses
  • Should have good interpersonal skills and ability to interact with senior management as well as adaptability and willingness to take on a wide variety of new tasks
  • Ability to present to financial professionals
  • Ability to deliver high quality work product on time

$45-$85 an hour depending on experience.

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