Associate Attorney needed for Atlanta office

Job Title:
Associate Attorney

Job Overview:
A well-established law firm based in Atlanta, GA, seeks an experienced attorney to provide legal and compliance advisory services to clients in the financial services sector, including broker-dealers and registered investment advisers. This position offers an opportunity to take ownership of client matters, provide strategic regulatory defense, and work in a collaborative environment with seasoned legal professionals and compliance personnel.

Duties:

• Offer legal defense in regulatory investigations involving broker-dealers and investment advisory firms

• Provide strategic guidance on compliance with SEC, FINRA, and state regulations

• Draft, revise, and interpret legal documents including Form ADV, SOPs, contracts, and third-party agreements

• Assess client operations to ensure alignment with changing regulatory frameworks

• Advise on regulatory impacts of business operations and emerging compliance obligations

• Evaluate contracts and policy documents to ensure compliance and mitigate legal risks

• Manage and resolve legal disputes through negotiation and advisory engagement

• Direct and mentor junior staff, including paralegals and analysts, to maintain work quality and case progression

• Take a lead role in formulating legal strategies and overseeing their execution

• Serve as Chief Compliance Officer (CCO) for select clients when necessary

• Conduct legal research and draft pleadings, motions, and settlement documents

• Coordinate with internal teams and clients to ensure efficient handling of matters

• Represent clients in hearings and provide courtroom support as needed

Requirements:

• 5-10 years of legal practice, with a concentration in securities, broker-dealer, or investment adviser regulation

• Demonstrated experience with SEC, FINRA, and related state-level oversight

• Strong grasp of the Investment Advisers Act, Securities Exchange Act, and corporate governance principles

• Familiarity with SRO and state securities frameworks

• Experience handling document-heavy and regulation-centric legal matters

• Ability to take initiative, manage client expectations, and assume ownership of projects

Education:

• Juris Doctor (J.D.) from an ABA-accredited law school

Certifications:

• Active Bar membership in good standing in at least one U.S. jurisdiction

• Membership in the American Bar Association (ABA) is preferred

Skills:

• Advanced legal research and document drafting capabilities

• Strong analytical reasoning and problem-solving aptitude

• Leadership skills with proven ability to manage teams and delegate tasks effectively

• Excellent communication skills, with the ability to advise clients and collaborate with cross-functional teams

• Comfortable with shifting priorities and complex regulatory landscapes

• Conflict resolution and negotiation skills with a focus on balancing legal and business concerns

Job Location:

• Atlanta, GA

Benefits:

• Comprehensive health and dental coverage

• Professional development support and training resources

• Paid time off and holiday leave

• Opportunities for advancement and expanded client responsibility

• Flexible hybrid work arrangements, as applicable

• Supportive and collaborative legal environment