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NYC Area. Our client is seeking an attorney with retail investment advisory experience to join its legal team. This attorney will advise business teams and other attorneys on cutting edge regulatory issues relating to retail investment advisor areas, such as use of technology, customer disclosure requirements, and marketing and sales practices that incorporate technology such as digital programs and social media. This attorney will serve as an expert in this area for the company and will attend industry events and committee meetings to represent the company.
This person should have at least 8 years of relevant experience in the broker-dealer/investment advisor area. Experience in the retail space is necessary to understand the relevant regulatory issues. Experience with relevant regulations under the 1934 Act and the 1940 Act, as well as the Advisors Act and FINRA rules. In-house experience preferred; however, client will also consider law firm candidates who are counseling investment advisor clients on these issues. Relevant regulatory experience with the SEC and/or FINRA is also a plus. Understanding of ETF products also a plus.
To earn more, please email your resume or inquiry to David Anderson at firstname.lastname@example.org; no phone calls, please.
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