Seeking a Wealth Management Attorney to support a growing legal team in a fast-paced financial environment.
Leverage expertise in securities regulations, including FINRA Rules, Regulation Best Interest, and the Investment Advisers Act, to provide strategic legal guidance on broker-dealer and investment advisory matters.
Take ownership of complex legal issues, collaborate with senior leaders, and support the development of investment products.
Responsibilities include interpreting laws, drafting and reviewing transactional documents, and building strong relationships across business units.
Qualifications include at least 10 years of legal experience, JD degree, and deep knowledge of securities laws.
Preferred skills involve supporting wealth management and investment products, leadership, and effective communication.
Must be licensed to practice law and pass relevant compliance reviews.