Legal Counsel - RIA Compliance

Location: New York, NY (Hybrid)Salary: $175,000 - 215,00 base + bonus incentivesPosition Overview:The Legal Counsel - RIA Compliance will support the organization’s legal and regulatory responsibilities. This role demands strong attention to detail, a solid understanding of FINRA and SEC RIA requirements, and the ability to collaborate across teams to mitigate legal and regulatory risks. Responsibilities:Assist in drafting, reviewing, and managing contracts, agreements, and other legal documentationMaintain contract databases, ensuring accurate record-keeping and documentationCompliance & RegulatoryMonitor adherence to applicable laws, regulations, and internal policiesSupport the implementation and ongoing enhancement of compliance frameworks and proceduresPolicy & GovernanceSupport corporate governance activities, including preparation of board and committee materialsHelp ensure compliance with internal controls and risk management processesQualifications:5+ years of experience in legal or compliance roles within the Registered Investment Advisor (RIA) spaceExperience within a Broker-Dealer environment is highly preferredJuris Doctor (JD) from an accredited law school with active bar membership in at least one U.S. jurisdictionIf this interests you, apply, or reach me directly: