Job Details

Corporate - Securities and Capital Markets Attorney in Atlanta, GA

Organization Type


Job Type


Posted on

May 04, 2021

Years of Experience

4-7 yrs required


Atlanta, GA, United States
Practice Area
Corporate >> Corporate - Securities and Capital Markets
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Vice President, Broker Dealer Legal Counsel
Duties: Support cash management business, providing advice and consultation on a variety of legal, regulatory and compliance issues. Will include providing advice on broker-dealer issues arising in technology- based fund distribution business, negotiating investment management agreements, guidelines and other agreements with clients, assisting in negotiations with financial intermediaries, advising the business on relevant regulatory developments, and assisting on new product development initiatives. Will also communicate regularly with management regarding legal, regulatory and compliance, and business initiatives; partner with compliance to address now or amended regulations; and assist in the broker-dealer governance process, including attending oversight committee meetings.

Qualification and Experience

Requirements: Requires a JD Degree with outstanding academic credentials from a nationally recognized law school and 4-7 years’ experience as a lawyer in a major law firm or in the legal department of a leading financial services organization. Expertise in regulations for U.S. broker-dealers including FINRA rules, and in the Investment Advisers Act of 1940 is required, and familiarity with other U.S. federal securities laws, such as the Investment Company Act of 1940, is strongly advantageous. Should have exceptional analytical, written and verbal communication, strong interpersonal and relationship-building skills, and must be able to work effectively both independently and as a member of the team, in a demanding, fast-paced, global environment prioritizing multiple tasks and projects concurrently while maintaining high standards and attention to detail. Must have the ability and desire to develop expertise in new or unfamiliar areas of law.

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