Are you a recent law school graduate looking to work with experienced attorneys and paralegals who will give you opportunities to further your legal career? If so, we are looking for you! Our firm is hiring an associate attorney who will support us by conducting legal research, drafting documents, maintaining client files, and assisting with legal counsel. The ideal candidate will have some courtroom experience and strong legal research and writing skills. If you’re ready to jump-start your growth in the industry and learn how to strategize in the courtroom to successfully represent clients, reach out to us today! Responsibilities: • Maintain client files in an organized fashion to ensure up-to-date information is handy for other attorneys, paralegals and support staff • Analyze conflicts in legal matters, advise clients on solutions, and negotiate on behalf of clients • Resolve cases efficiently by using communicating effectively with and working alongside senior attorneys and paralegals • Conduct legal research, prepare for and attend hearings and/or other legal proceedings, and provide legal counsel with the help of senior associate attorneys • Prepare correspondence and legal documents such as contracts, pleadings, briefs, affidavits, motions, and settlement agreements for contract negotiations and proceedings Job Expectations for General Counsel (BD and RIAs) to include, but not limited to: Regulatory Defense & Compliance Oversight • Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA). • Advise on compliance with relevant laws, rules, and regulations for BD and RIA entities. Drafting and Reviewing Compliance Documents • Draft and revise key compliance documents, including Form ADV, Standard Operating Procedures (SOP), and various legal agreements. • Prepare and review contracts, including those for registered representatives, investment adviser representatives (IAR), and third-party agreements. Regulatory Analysis & Advisory • Analyze and advise on complex compliance and regulatory matters affecting BDs and RIAs. • Examine and interpret new and existing regulatory changes, ensuring clients’ operations are compliant. Client Interaction & Legal Counsel • Regularly interact with clients to provide proactive legal counsel and direction on regulatory and compliance issues. • Guide clients on best practices for compliance and risk mitigation strategies. Legal Document Review & Recommendations • Assess a wide range of legal documents (contracts, agreements, policies, etc.) and recommend necessary changes to protect clients’ interests. • Ensure legal documents align with regulatory requirements and business goals. Negotiation & Dispute Resolution • Lead negotiations with external entities, including regulators, clients, and third parties, to resolve legal disputes and business differences. • Work to resolve conflicts effectively, balancing legal and business considerations. Team Leadership & Supervision • Delegate tasks and supervise the work of paralegals, legal analysts, and other specialized compliance staff members. • Ensure efficient workflow and high-quality legal output from team members. Strategic Representation & Ownership • Formulate and execute legal strategies to represent clients effectively, taking full ownership of their legal matters. • Develop long-term strategies to mitigate risks and ensure clients’ legal and regulatory compliance. Chief Compliance Officer Role (As Needed) • Act as Chief Compliance Officer (CCO) for clients when required, overseeing compliance programs and practices. • Ensure adherence to all internal and external compliance standards, providing guidance on CCO-related matters. • Adherence to rules, regulations, laws, and guidance. Qualifications: • Effective communication skills and problem-solving skills are necessary to work with all levels of staff and clients • Candidates must have passed the bar exam • Active membership with the American Bar Association (ABA) • Completion of a Juris Doctor (J.D. degree) from an accredited law school • Prepared to learn from senior attorneys to meet our client needs and grow our client base Qualifications for General Counsel (BD and RIAs) Experience & Background. Law Firm experience preferred, handling a wide range of legal issues • 5-10 years of legal experience in financial services, preferably with an investment firm or a law firm serving RIA and BD clients. • Proven expertise in handling SEC, FINRA, and state regulations; licensure is preferred but not required. Regulatory & Legal Knowledge In-depth knowledge of key regulations and laws, including: • Investment Advisers Act of 1940. • Securities Exchange Act of 1934. • Rules and regulations of self-regulatory organizations. • State securities laws. • Principles of corporate law and financial regulation. Writing & Organizational Skills • Exceptional writing and documentation skills, with the ability to draft clear, concise, and legally sound documents. • Strong organizational skills, able to manage multiple tasks, deadlines, and legal documents efficiently. Leadership & Delegation • Demonstrated ability to delegate, prioritize , and maintain effective workflow management across teams. • Ability to provide clear direction and supervision to specialized legal staff, paralegals, and analysts. Analytical & Problem-Solving Abilities • Proven ability to analyze complex legal issues and provide practical, well-thought-out solutions. • Critical thinking skills for navigating regulatory challenges and compliance risks. Interpersonal & Collaborative Skills • Strong interpersonal skills with the ability to work effectively with senior management and diverse teams. • Flexibility to adapt to new tasks, shifting priorities, and dynamic work environments. Teamwork & Conflict Resolution • Enjoys working collaboratively with others to resolve legal issues and challenges. • Ability to manage difficult or high-pressure scenarios with poise and professionalism. Travel Requirements • Limited business travel as needed. Compensation: $95,000 - $155,000 annually

• Job Expectations for General Counsel (BD and RIAs) to include, but not limited to:Regulatory Defense & Compliance Oversight • Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA). • Advise on compliance with relevant laws, rules, and regulations for BD and RIA entities.Drafting and Reviewing Compliance Documents • Draft and revise key compliance documents, including Form ADV, Standard Operating Procedures (SOP), and various legal agreements. • Prepare and review contracts, including those for registered representatives, investment adviser representatives (IAR), and third-party agreements.Regulatory Analysis & Advisory • Analyze and advise on complex compliance and regulatory matters affecting BDs and RIAs. • Examine and interpret new and existing regulatory changes, ensuring clients’ operations are compliant.Client Interaction & Legal Counsel • Regularly interact with clients to provide proactive legal counsel and direction on regulatory and compliance issues. • Guide clients on best practices for compliance and risk mitigation strategies.Legal Document Review & Recommendations • Assess a wide range of legal documents (contracts, agreements, policies, etc.) and recommend necessary changes to protect clients’ interests. • Ensure legal documents align with regulatory requirements and business goals.Negotiation & Dispute Resolution • Lead negotiations with external entities, including regulators, clients, and third parties, to resolve legal disputes and business differences. • Work to resolve conflicts effectively, balancing legal and business considerations.Team Leadership & Supervision • Delegate tasks and supervise the work of paralegals, legal analysts, and other specialized compliance staff members. • Ensure efficient workflow and high-quality legal output from team members.Strategic Representation & Ownership • Formulate and execute legal strategies to represent clients effectively, taking full ownership of their legal matters. • Develop long-term strategies to mitigate risks and ensure clients’ legal and regulatory compliance.Chief Compliance Officer Role (As Needed) • Act as Chief Compliance Officer (CCO) for clients when required, overseeing compliance programs and practices. • Ensure adherence to all internal and external compliance standards, providing guidance on CCO-related matters. • Adherence to rules, regulations, laws, and guidance.