RBPRSLLC is looking for candidates to fill the position of Managing Attorney Compliance. Remote/Hybrid, employer based in Alpharetta, GA. Eastern or Central times zones preferred. No visa sponsorships supported, no agencies please.

Top Reasons to work with our client:
Specialized Expertise: Be part of a firm focused on financial and compliance law.
Professional Growth: Opportunities to expand your knowledge and skills in the RIA industry.
Supportive Culture: Work in a collaborative and team-oriented environment.
Client Impact: Help clients navigate complex legal and regulatory matters.
Dynamic Work Environment: Engage in diverse and challenging legal cases.
Career Development: Benefit from mentorship and training programs.

What you will be doing:

• Providing compliance support and advice to BDs and RIAs
• Drafting and reviewing Form ADV, policies and procedures, registered representative and IAR contracts, vendor contracts, and other third-party contracts
• Engaging with clients on a regular basis and providing legal advice on a variety of compliance and regulatory issues
• Analyzing, summarizing, and preparing complicated legal documents, including contracts, and suggesting alterations to those documents
• Negotiating with outside parties on contractual issues and legal disputes
• Defending industry professionals in FINRA, AAA, and JAMS arbitrations
• Defending industry professionals and firms in FINRA, SEC, and state enforcement matters
• Analyzing compliance and regulatory issues affecting the BD and RIA clients and providing framework and counsel for compliance with such rules and regulations
• Mentoring and guiding compliance attorneys

Experience you will need:

• Must have a Bachelor's Degree, J.D., and be admitted to practice in a primary jurisdiction
• Minimum of 10 to 15 years of financial services-related legal experience, preferably in a financial services complex or a law firm working with RIA and BD clients
• Focused experience as an attorney working with SEC, FINRA, and state rules and regulations
• Knowledge preferred of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the rules and regulations of self-regulatory organizations, state securities laws, and basic corporate law principles
• Strong writing and organizational skills
• Ability to engage in complex legal analyses
• Good interpersonal skills and ability to interact with senior management, as well as adaptability and willingness to take on a wide variety of new tasks
• Ability to present to financial professionals
• The position requires some travel
• FINRA licenses are preferred (including 7, 24, 53)

Salary: $165,000 - $200,000/year