Securities Associate Attorney Job in Atlanta, GA Near Me - 290230 | BCGSearch.com

Securities Associate Attorney

Type Full-Time

Location Georgia - Atlanta

Job ID YB8F290230

Experience Level Midlevel Associate

Job Experience Min. 5 - Max. 10 Years

Ranking 3 : Mostly Business $$$

Estimated Salary Lower than Highest Salary Band in Market (Varies by Firm)

Practice Areas Corporate - Securities and Capital MarketsFinance - General

2023-08-11 06:33:46

Atlanta office of a BCG Attorney Search Top Ranked Law Firm seeks a securities associate attorney with 5-10 years of financial services-related legal experience, preferably in a financial services complex or a law firm working with RIA and BD clients. The candidate will be providing compliance support and advice to BDs and RIAs. Will be drafting and reviewing Form ADV, policies and procedures, registered representative and IAR contracts, vendor contracts, and other 3rd party contracts. Engaging with clients on a regular basis and providing legal advice on a variety of compliance and regulatory issues. Analyzing, summarizing, and preparing 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 FINRA, AAA, and JAMS arbitrations. Defending industry professionals and firms in FINRA, SEC, and state Enforcement matters. Analyzing compliance and regulatory issues affecting the BD and RIA clients and providing framework and counsel for compliance with such rules and regulations. Must be admitted to practice in a primary jurisdiction. Focused experience as an attorney working with SEC, FINRA, and state rules and regulations is required. 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. FINRA licenses are preferred.

The candidate should have a Bachelors Degree, and J.D. Must have strong writing and organizational skills. The ability to engage in complex legal analyses is required. 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. The ability to present to financial professionals is needed.

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