jobsPosted 2 days 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 a Legal Counsel to manage legal and regulatory responsibilities related to Registered Investment Advisor (RIA) compliance. The successful candidate will be responsible for drafting and reviewing contracts, maintaining legal databases, monitoring adherence to FINRA and SEC requirements, and supporting corporate governance activities including board material preparation.
Eligibility: Applicants must hold a Juris Doctor (JD) from an accredited law school and maintain 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 RIA space is required. Experience within a Broker-Dealer environment is strongly preferred.
Deadline: Not specified
Location: New York, NY (Hybrid)
Fees: None
Application Link: Apply via LinkedIn
Contact Information: dhill@hpexec.com
Category: Jobs
Organiser: H&P Executive Search
Description: H&P Executive Search is recruiting a Legal Counsel to manage legal and regulatory responsibilities related to Registered Investment Advisor (RIA) compliance. The successful candidate will be responsible for drafting and reviewing contracts, maintaining legal databases, monitoring adherence to FINRA and SEC requirements, and supporting corporate governance activities including board material preparation.
Eligibility: Applicants must hold a Juris Doctor (JD) from an accredited law school and maintain 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 RIA space is required. Experience within a Broker-Dealer environment is strongly preferred.
Deadline: Not specified
Location: New York, NY (Hybrid)
Fees: None
Application Link: Apply via LinkedIn
Contact Information: dhill@hpexec.com