Regulatory and Securities Attorney

Recruiter

San Diego, CA

Regulatory and Securities Attorney

Attorney

3-20 yrs required

No

San Diego office of a **Members Only** Top Ranked Law Firm seeks regulatory and securities attorney with 5+ years of securities law experience in SEC and FINRA regulatory matters. The candidate will advise clients on SEC regulatory and securities issues and provide counsel on unique and complex legal issues. Will be responsible for providing advice and trusted counsel to clients and will collaborate with the growing firm to help build on the company’s success. Be a key team player for servicing clients, including investment advisers, broker-dealers, private fund advisers, investment companies, corporations, and individuals. Extensive knowledge of regulations governing the financial industry is required as is experienced in corporate law matters and assisting with mergers and acquisitions, regulatory exams, and corporate strategic advisement. Must have Admission to the State Bar of CA, TX, FL, or NY. Extensive knowledge of the Investment Advisers Act of 1940, FINRA Rules, and the Investment Company Act of 1940 is essential. Growing book of business with the ability to drive new business needed. Strong writing, communications and negotiation skills are essential.