Are you a bold advocate who thrives on passionately defending your clients? Do you balance unwavering dedication with a vibrant, engaging personality? If so, we want to hear from you! We’re looking for someone who brings both charisma and enthusiasm to their work. Clients are some of the brightest in the industry, and they seek to partner with exceptional talent. As part of our dynamic team, you’ll have the opportunity to work alongside passionate professionals who are committed to delivering outstanding results and helping those in finance achieve their ROI. Do you have at least 5 years of experience as an attorney? Have you honed your expertise in a law firm environment and mastered what it takes to be a top-tier legal professional? Are you known for your sharp attention to detail, accuracy, and ability to manage complex tasks with efficiency and confidence? Do you hold yourself accountable and take pride in delivering work of the highest quality, without the need for constant oversight? If you excel in fast-paced environments and love tackling specialized, intricate work, this is the opportunity for you. Join us and bring your expertise to a team that celebrates both professionalism and personality—where your contributions will make a real difference. Responsibilities: • Maintain client files in an organized fashion to ensure up-to-date information is handy for other attorneys, paralegals and support staff • Create legal documents, including correspondence, briefs, motions, pleadings, contracts, affidavits, and settlement agreements for contract negotiations and proceedings • Assist clients in determining a proper solution to legal conflicts and determine the best course of action • Attend court hearings or other legal proceedings, perform legal research, and work with senior associate attorneys to provide legal advice Job Expectations for General Counsel (BD and RIAs) to include but not limited to: Regulatory Defense & Compliance Oversight • Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA). • Advise on compliance with relevant laws, rules, and regulations for BD and RIA entities. Drafting and Reviewing Compliance Documents • Draft and revise key compliance documents, including Form ADV, Standard Operating Procedures (SOP), and various legal agreements. • Prepare and review contracts, including those for registered representatives, investment adviser representatives (IAR), and third-party agreements. Regulatory Analysis & Advisory • Analyze and advise on complex compliance and regulatory matters affecting BDs and RIAs. • Examine and interpret new and existing regulatory changes, ensuring clients’ operations are compliant. Client Interaction & Legal Counsel • Regularly interact with clients to provide proactive legal counsel and direction on regulatory and compliance issues. • Guide clients on best practices for compliance and risk mitigation strategies. Legal Document Review & Recommendations • Assess a wide range of legal documents (contracts, agreements, policies, etc.) and recommend necessary changes to protect clients’ interests. • Ensure legal documents align with regulatory requirements and business goals. Negotiation & Dispute Resolution • Lead negotiations with external entities, including regulators, clients, and third parties, to resolve legal disputes and business differences. • Work to resolve conflicts effectively, balancing legal and business considerations. Team Leadership & Supervision • Delegate tasks and supervise the work of paralegals, legal analysts, and other specialized compliance staff members. • Ensure efficient workflow and high-quality legal output from team members. Strategic Representation & Ownership • Formulate and execute legal strategies to represent clients effectively, taking full ownership of their legal matters. • Develop long-term strategies to mitigate risks and ensure clients’ legal and regulatory compliance. Chief Compliance Officer Role (As Needed) • Act as Chief Compliance Officer (CCO) for clients when required, overseeing compliance programs and practices. • Ensure adherence to all internal and external compliance standards, providing guidance on CCO-related matters. • Adherence to rules, regulations, laws, and guidance. Qualifications: • Applicants must have successfully passed the state bar exam • Juris Doctorate (J.D.) degree required from an accredited law school • Solid communication skills and problem-solving skills required in order to work with clients, staff members and senior attorneys • Prepared to learn from senior attorneys to meet our client needs and grow our client base Qualifications for General Counsel (BD and RIAs) Experience & Background • 5-10 years of legal experience in financial services, preferably with an investment firm or a law firm serving RIA and BD clients. • Proven expertise in handling SEC, FINRA, and state regulations; licensure is preferred but not required. Regulatory & Legal Knowledge • In-depth knowledge of key regulations and laws, including: • Investment Advisers Act of 1940 • Securities Exchange Act of 1934 • Rules and regulations of self-regulatory organizations • State securities laws • Principles of corporate law and financial regulation. Writing & Organizational Skills • Exceptional writing and documentation skills, with the ability to draft clear, concise, and legally sound documents. • Strong organizational skills, able to manage multiple tasks, deadlines, and legal documents efficiently. Leadership & Delegation • Demonstrated ability to delegate, prioritize , and maintain effective workflow management across teams. • Ability to provide clear direction and supervision to specialized legal staff, paralegals, and analysts. Analytical & Problem-Solving Abilities • Proven ability to analyze complex legal issues and provide practical, well-thought-out solutions. • Critical thinking skills for navigating regulatory challenges and compliance risks. Interpersonal & Collaborative Skills • Strong interpersonal skills with the ability to work effectively with senior management and diverse teams. • Flexibility to adapt to new tasks, shifting priorities, and dynamic work environments. Teamwork & Conflict Resolution • Enjoys working collaboratively with others to resolve legal issues and challenges. • Ability to manage difficult or high-pressure scenarios with poise and professionalism. Travel Requirements Compensation: $95,000 - $155,000 annually

• Job Expectations for General Counsel (BD and RIAs) to include but not limited to:Regulatory Defense & Compliance Oversight • Provide legal defense in regulatory matters affecting broker-dealers (BD) and registered investment advisers (RIA). • Advise on compliance with relevant laws, rules, and regulations for BD and RIA entities.Drafting and Reviewing Compliance Documents • Draft and revise key compliance documents, including Form ADV, Standard Operating Procedures (SOP), and various legal agreements. • Prepare and review contracts, including those for registered representatives, investment adviser representatives (IAR), and third-party agreements.Regulatory Analysis & Advisory • Analyze and advise on complex compliance and regulatory matters affecting BDs and RIAs. • Examine and interpret new and existing regulatory changes, ensuring clients’ operations are compliant.Client Interaction & Legal Counsel • Regularly interact with clients to provide proactive legal counsel and direction on regulatory and compliance issues. • Guide clients on best practices for compliance and risk mitigation strategies.Legal Document Review & Recommendations • Assess a wide range of legal documents (contracts, agreements, policies, etc.) and recommend necessary changes to protect clients’ interests. • Ensure legal documents align with regulatory requirements and business goals.Negotiation & Dispute Resolution • Lead negotiations with external entities, including regulators, clients, and third parties, to resolve legal disputes and business differences. • Work to resolve conflicts effectively, balancing legal and business considerations.Team Leadership & Supervision • Delegate tasks and supervise the work of paralegals, legal analysts, and other specialized compliance staff members. • Ensure efficient workflow and high-quality legal output from team members.Strategic Representation & Ownership • Formulate and execute legal strategies to represent clients effectively, taking full ownership of their legal matters. • Develop long-term strategies to mitigate risks and ensure clients’ legal and regulatory compliance.Chief Compliance Officer Role (As Needed) • Act as Chief Compliance Officer (CCO) for clients when required, overseeing compliance programs and practices. • Ensure adherence to all internal and external compliance standards, providing guidance on CCO-related matters. • Adherence to rules, regulations, laws, and guidance.