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Registrant Law is seeking a securities lawyer to join Registrant Law's securities law and regulatory compliance practice.  

About the position:

• The candidate will provide securities law and regulatory compliance advice to Registrant Law clients, which are primarily securities registrants including investment advisers, investment dealers, and investment fund managers.  The candidate will also provide advice on ancillary areas, such as AML and privacy.
• This is primarily a remote position.

Qualifications:

• Minimum 7 years of experience practicing securities law. 
• You work well in a remote environment.
• You have superior analytical and communication skills and the ability to manage multiple deadlines and priorities while paying attention to details. 
• You have an interest in business development, including attending client events, industry associations and promoting the firm via social media.  

Registrant Law is seeking a part-time compliance consultant to join Registrant Law's securities law and regulatory compliance practice.  This position would be primarily remote.

About the position:

• AML
• Assist with Anti-Money Laundering (AML) for Securities Dealers
• AML effectiveness reviews
• Assist clients with development of AML programs, including policies and procedures, risk assessments, and training
• Monitor updates to AML/TF legislation and implement changes
• Other AML matters

• Securities Compliance
• Assist clients with development of compliance programs, including policies and procedures, monitoring and testing
• Complete various regulatory filings
• Compliance monitorships
• Other compliance matters

• Registration
• NRD filings for new and existing registrants, firm and individual
• Developing and filing new firm and individual applications
• Outside Activity related filings
• Liaise with regulators
• Other registration matters

Qualifications:

• The candidate should have a professional designation such as a Lawyer or CFA and have relevant experience in the securities industry
• Attention to detail and comprehensive in their work
• Excellent written and verbal communication and strong interpersonal skills 
• Proficient in Microsoft Office and technology