Senior Securities Attorney

About Us A leading Securities, Regulatory and Corporate law firm dedicated to excellence, innovation, and client-focused solutions. With a strong commitment to our core values of Respect, Integrity, Teamwork and Excellence, we have been serving clients with unwavering dedication throughout the United States and internationally. Why Choose us? A Collaborative Environment: We foster a culture of teamwork and collaboration, where your expertise will be valued and your voice will be heard. Cutting-Edge Technology: Our commitment to staying at the forefront of legal technology ensures that you will have the tools you need to excel. Client-Centric Approach: Our clients are our top priority, and your book of business will seamlessly integrate into our client-focused model. Growth Opportunities: Joining our team means opening doors to new opportunities, unlimited earning potential and continuous professional development. Key Responsibilities Transactional Expertise: Lead and oversee complex securities transactions, including private placements, fund formations, and other investment-related agreements. Regulatory Compliance Advise broker-dealers, RIAs, and private funds on compliance with federal and state securities laws, including the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Advisers Act of 1940. Team Leadership: Mentor junior attorneys and collaborate with cross-functional teams to drive the firm’s growth in securities transactional services. Business Development: Develop and maintain client relationships, including expanding the firm’s securities client base through networking, thought leadership, and community engagement. Drafting and Negotiation: Prepare and negotiate offering documents, subscription agreements, regulatory filings, and compliance programs. Qualifications Education: Juris Doctor (JD) from an accredited law school. Bar Admission: Active membership in good standing with the California State Bar. Admission to multiple jurisdictions is a plus. Experience: Minimum of 5 years of securities transactional experience, with a focus on broker-dealer, RIA, and private fund clients. Technical Knowledge: Deep understanding of regulations affecting the financial industry including federal and state securities laws, FINRA and SEC regulations, in addition to corporate law matters, M&A, regulatory exams and corporate strategic advisement. Skills Strong leadership, analytical, and interpersonal skills. Proven ability to manage multiple high-stakes matters simultaneously. Client Service: Demonstrated success in building and maintaining client relationships with a focus on exceptional service. What We Are Looking For Strong entrepreneurial spirit! A solid book of business exceeding $400k that demonstrates commitment to client satisfaction and success. A passion for exceeding client expectations, developing new business and a desire to make a meaningful impact. Experience in managing a legal team or practice group. Published articles or speaking engagements on securities law topics. Performance-based bonuses. Comprehensive benefits package, including health, dental, and retirement plans. Partnership track opportunities for qualified candidates. Headquartered in San Diego and offers a hybrid work arrangement. Relocation will be provided for the right candidate. Salary plus origination fees and equity/profit-sharing opportunities. #J-18808-Ljbffr