Downtown, AV rated, San Diego-based securities/financial services/business boutique law firm seeks experienced transactional/SEC/FINRA/regulatory compliance attorney for a partnership track position. We need help servicing our growing clientele including broker-dealers, investment advisory firms, registered representatives, hedge funds, and private equity funds in corporate, SEC, and FINRA related matters. We have more business than we currently can adequately handle. Experience and expertise in the Investment Advisers Act of 1940, Securities Act of 1933, Investment Company Act of 1940 and/or financial services industry required. FINRA experience a plus.
We are a well-run, profitable firm with attractive, architecturally designed, high floor, ocean view offices. We have an excellent, national reputation particularly in the field of financial services law, and securities/finance/business transactions, litigation, and arbitration. We handle transactions, litigations, and arbitrations throughout the U.S. at a very high level. We are a high quality/low volume firm. Many of our partners come out of national law firms.
The ideal candidate will have experience advising on SEC, FINRA, Fund and ’40 Act issues. Candidates with, or without existing, portable book of business will be considered.
Excellent group of people to work with and very pleasant, transparent environment. Excellent opportunity for the right person. Compensation commensurate with experience, knowledge of the financial services and investment industry, and portable business.
Candidates must be in good standing with the State Bar of California and able to work full time in our San Diego office.
At this time, only direct candidates will be considered. No recruiters please.
