Financial Services Attorney
1 week ago
Sterling Search Partners is helping a growing Orlando law firm with its search for an Attorney. The Financial Services Attorney provides expert legal advice and representation to financial institutions, investment firms, insurance companies, and other entities within the financial sector. This role involves ensuring compliance with regulatory requirements, addressing legal issues, and mitigating risks related to financial transactions and operations.
Key Responsibilities:
Legal Compliance:
- Advise clients on compliance with federal and state regulations, including the Dodd-Frank Act, Sarbanes-Oxley Act, SEC regulations, and other relevant laws.
- Review and interpret laws, regulations, and policies affecting financial services.
Transactional Support:
- Draft, review, and negotiate contracts, agreements, and other legal documents related to financial transactions.
- Assist with mergers and acquisitions, securities offerings, and other corporate finance activities.
Litigation and Dispute Resolution:
- Represent clients in legal disputes, including regulatory investigations, enforcement actions, and litigation.
- Develop and implement strategies for dispute resolution and risk management.
Regulatory Interaction:
- Interface with regulatory bodies such as the SEC, FINRA, FDIC, and state insurance regulators.
- Prepare and submit regulatory filings and reports.
Risk Management:
- Identify legal risks associated with financial operations and provide strategies to mitigate those risks.
- Conduct legal research and provide guidance on emerging legal issues and trends in the financial industry.
Client Advisory:
- Provide legal advice to clients on financial products, investment strategies, and corporate governance.
- Assist clients with compliance training and internal policies.
Qualifications:
- Juris Doctor (J.D.) degree from an accredited law school.
- Admission to the bar in Florida.
- 1-3 years of experience in financial services law or a related field.
- Strong understanding of financial regulations and industry practices.
- Excellent research, analytical, and communication skills.
- Ability to handle complex legal issues and provide clear, actionable advice.
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