Corporate/SEC/Financial Services Attorney

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Corporate/SEC/Financial Services Attorney​

Location: San Diego, CA

Job Overview

A distinguished law firm in San Diego is seeking an experienced Corporate & Securities Attorney with expertise in financial services, SEC, and FINRA regulatory compliance. This role involves advising a diverse clientele, including broker-dealers, investment advisory firms, hedge funds, and private equity funds, on corporate and regulatory matters. The position offers a partnership track for qualified candidates with strong industry knowledge and transactional experience.

Duties

• Advise clients on SEC, FINRA, and Investment Advisers Act compliance
• Provide legal counsel on corporate governance, fund formation, and regulatory filings
• Assist financial institutions with securities transactions and regulatory compliance
• Draft and review contracts, disclosure documents, and compliance policies
• Represent clients in financial services-related regulatory matters
• Work on complex financial and securities-related transactions
• Collaborate with a team of experienced attorneys on business strategy and client needs

Requirements

• Strong background in securities law, corporate governance, and financial services regulation
• Experience with the Investment Advisers Act of 1940, the Securities Act of 1933, and the Investment Company Act of 1940
• Familiarity with FINRA regulations is highly preferred
• Prior work with hedge funds, private equity funds, and broker-dealers is a plus
• Excellent analytical, problem-solving, and client-management skills
• Ability to manage multiple cases and transactions simultaneously

Education

• Juris Doctor (J.D.) from an accredited law school
• Admission to the State Bar of California (or eligibility for admission)

Skills

• Strong legal research and drafting skills
• In-depth understanding of securities law and financial regulations
• Ability to work independently and as part of a team
• Exceptional negotiation and communication abilities
• Detail-oriented with strong analytical skills

Job Location

• San Diego, CA (on-site position)

Benefits

• 401(k) retirement plan
• Comprehensive health, dental, and vision insurance
• Paid time off and vacation benefits
• Retirement plan options
• Supportive and professional work environment

Company info

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