Senior Legal Counsel
Alexander Chapman, Washington, District of Columbia, United States
I’m currently partnering with a
leading financial services organisation
seeking a Senior Counsel to support its broker-dealer and registered investment advisory platform. This role will serve as a key legal advisor across the business, providing strategic guidance on regulatory matters while supporting ongoing growth initiatives.
Key Responsibilities
Provide practical legal guidance on regulatory matters affecting broker-dealer and investment advisory services, including managed accounts, advisory programs, financial planning services, and self-directed brokerage offerings
Advise on and draft client-facing disclosures, internal policies, and supervisory procedures
Partner closely with compliance, operations, and business teams to align regulatory requirements with strategic objectives
Draft, review, and negotiate commercial agreements impacting the firm’s advisory and brokerage operations
Monitor and interpret regulatory developments affecting securities and advisory services, communicating implications across legal and business teams
Support additional strategic and operational legal initiatives as needed
Qualifications
Juris Doctor and active bar membership
8+ years of experience in securities law, with substantial exposure to retail broker-dealer and investment advisory frameworks
Deep understanding of the Investment Advisers Act, Securities Exchange Act, and applicable FINRA regulations
Ability to translate complex regulatory requirements into clear, actionable guidance for business stakeholders
Strong independent judgment with the ability to manage multiple priorities in a fast-paced environment
Demonstrated ability to collaborate cross-functionally and build strong internal relationships
#J-18808-Ljbffr
leading financial services organisation
seeking a Senior Counsel to support its broker-dealer and registered investment advisory platform. This role will serve as a key legal advisor across the business, providing strategic guidance on regulatory matters while supporting ongoing growth initiatives.
Key Responsibilities
Provide practical legal guidance on regulatory matters affecting broker-dealer and investment advisory services, including managed accounts, advisory programs, financial planning services, and self-directed brokerage offerings
Advise on and draft client-facing disclosures, internal policies, and supervisory procedures
Partner closely with compliance, operations, and business teams to align regulatory requirements with strategic objectives
Draft, review, and negotiate commercial agreements impacting the firm’s advisory and brokerage operations
Monitor and interpret regulatory developments affecting securities and advisory services, communicating implications across legal and business teams
Support additional strategic and operational legal initiatives as needed
Qualifications
Juris Doctor and active bar membership
8+ years of experience in securities law, with substantial exposure to retail broker-dealer and investment advisory frameworks
Deep understanding of the Investment Advisers Act, Securities Exchange Act, and applicable FINRA regulations
Ability to translate complex regulatory requirements into clear, actionable guidance for business stakeholders
Strong independent judgment with the ability to manage multiple priorities in a fast-paced environment
Demonstrated ability to collaborate cross-functionally and build strong internal relationships
#J-18808-Ljbffr