Experience you will need:

• Must have a Bachelor's Degree, J.D., and be admitted to practice in a primary jurisdiction
• Minimum of 10 to 15 years of financial services-related legal experience, preferably in a financial services complex or a law firm working with RIA and BD clients
• Focused experience as an attorney working with SEC, FINRA, and state rules and regulations
• 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
• Ability to engage in complex legal analyses
• 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
• The position requires some travel
• FINRA licenses are preferred (including 7, 24, 53)