Public Interest
Washington, DC
Litigation - Securities Litigation - Defense Attorney in Washington, DC
Attorney
Min 10 yrs required
No
Job Title: Senior Securities Counsel
Job Responsibilities:
The Senior Securities Counsel at the organization engages in a wide array of financial services and asset management-related legal issues. The primary responsibility is to provide counsel and advice to various internal business and compliance departments concerning federal and state securities laws and regulations impacting the organization and its affiliated, regulated entities. Essential functions include:
- Researching and analyzing complex issues related to the operations of SEC-registered investment advisers, broker-dealers, and collective investment trust funds.
- Drafting and reviewing written policies and procedures for investment advisers and broker-dealers.
- Drafting and reviewing various types of contracts and agreements related to regulated entities and general corporate activities.
- Reviewing marketing and client reporting materials to ensure adherence to corporate policy and applicable laws and regulations.
- Providing general legal guidance on corporate matters.
- Maintaining familiarity with federal and state privacy laws and regulations.
- Performing other duties as assigned.
Education and Experience Information:
Candidates for the Senior Securities Counsel position are expected to have:
- A law degree from an accredited law school and active state bar membership.
- A minimum of 10 years of experience in securities law, gained through in-house, law firm, or government roles.
- Experience working in a financial services firm, law firm, the SEC, or FINRA is preferred.
- A working knowledge of and experience with securities laws and regulations related to investment advisers.
- Familiarity with laws concerning collective investment trust funds.
- Familiarity with SEC and FINRA rules related to broker-dealers.
- Excellent legal research, writing, and analysis skills.
- Strong communication skills.
- Strong contract negotiation and drafting skills.
- A working knowledge of general corporate law.
Salary Information:
The salary range for the Senior Securities Counsel position is between $164,170 USD to $262,670 USD, with a specified salary of $213,420 USD per year.
Additional Information:
The organization offers a competitive Total Rewards package that includes compensation and benefits, a 401(k) Plan with matching contributions, varied incentive plans, flexible/hybrid work schedules, wellness programs, tuition reimbursement, professional and career development courses, mentoring programs, and a volunteerism program. The organization is committed to being an Equal Opportunity Employer and strives to create an environment that values diversity and fosters respect among employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or any other protected classifications under applicable law. Applicants are encouraged to review the "Know Your Rights" notice from the Department of Labor for further information on their rights under federal employment laws.
Jun 13, 2025
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