jobsPosted 1 day ago
Legal Counsel - RIA Compliance
H
H&P Executive Search
📅Primary
last date
Open Access
📍
Location/Place/Mode
New York, NY (Hybrid)
🔖
Eligibility
None
Opportunity
Title: Legal Counsel - RIA Compliance
Category: Jobs
Organiser: H&P Executive Search
Description: H&P Executive Search is recruiting for a Legal Counsel - RIA Compliance to support an organization’s legal and regulatory responsibilities. The role involves drafting and managing legal documentation, monitoring adherence to FINRA and SEC RIA requirements, and supporting corporate governance activities including board material preparation.
Eligibility: Candidates must possess a Juris Doctor (JD) from an accredited law school and hold an active bar membership in at least one U.S. jurisdiction. A minimum of 5 years of experience in legal or compliance roles within the Registered Investment Advisor (RIA) space is required. Experience within a Broker-Dealer environment is highly preferred.
Deadline: Not specified
Location: New York, NY (Hybrid)
Fees: None
Application Link: Not specified
Contact Information: dhill@hpexec.com
Category: Jobs
Organiser: H&P Executive Search
Description: H&P Executive Search is recruiting for a Legal Counsel - RIA Compliance to support an organization’s legal and regulatory responsibilities. The role involves drafting and managing legal documentation, monitoring adherence to FINRA and SEC RIA requirements, and supporting corporate governance activities including board material preparation.
Eligibility: Candidates must possess a Juris Doctor (JD) from an accredited law school and hold an active bar membership in at least one U.S. jurisdiction. A minimum of 5 years of experience in legal or compliance roles within the Registered Investment Advisor (RIA) space is required. Experience within a Broker-Dealer environment is highly preferred.
Deadline: Not specified
Location: New York, NY (Hybrid)
Fees: None
Application Link: Not specified
Contact Information: dhill@hpexec.com