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Investment Platforms Counsel – Securities & Compliance
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-12
Listing for:
SoFi
Full Time
position Listed on 2026-01-12
Job specializations:
-
Law/Legal
Regulatory Compliance Specialist, Financial Law
Job Description & How to Apply Below
A financial services company is seeking an Assistant General Counsel to provide legal advice on SEC-registered broker-dealer and investment advisor matters. The ideal candidate should possess a JD from an accredited law school and 4 to 6 years of relevant experience. This role involves advising on security laws, developing compliance frameworks, and negotiating agreements. A strong background in regulatory frameworks is essential, alongside excellent communication skills.
The position is full-time based in New York.
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