The Head of Financial Services Law will lead the firm's Financial Services Practice Group , overseeing client work in regulatory compliance, asset management, and complex financial transactions.
This senior-level role involves providing strategic legal counsel to financial institutions, investment managers, hedge funds, and asset managers, ensuring compliance with SEC, FINRA, CFTC, NFA , and other relevant regulations.
The Head of Financial Services Law will also manage other lawyers and play a key role in mentoring junior attorneys, driving business development, and expanding the firm's presence in the financial services industry across our global hubs.
While the position is remote , candidates based in New York or Chicago are strongly preferred , and travel to these locations is required .
This position is designed for an experienced attorney with deep expertise in financial regulation and investment management , capable of leading a team and overseeing the legal aspects of complex financial matters.
Many of our clients are SEC-registered investment advisers, investment companies, or broker-dealers, so knowledge of federal securities law is essential.
Primary Responsibilities
Lead the Financial Services Law Practice , ensuring exceptional client service and high standards of legal work.
Serve as fractional general counsel to clients in financial services, including investment managers and asset management firms.
Provide strategic advice on SEC, FINRA, CFTC, and NFA compliance , and other regulatory matters affecting financial institutions.
Oversee and manage regulatory filings and the legal aspects of fund formation, structuring, and compliance.
Advise on risk management, corporate governance , and capital markets transactions .
Mentor and manage a team of lawyers and paralegals within the financial services practice group.
Drive business development efforts by identifying new opportunities and expanding client relationships.
Play a key role in firm leadership , contributing to long-term strategies, operational efficiency, and growth planning.
Collaborate with the marketing team to create thought leadership and content related to financial services law .
Keep up with industry trends and changes in financial regulations to ensure that the firm remains at the forefront of the financial services industry.
Qualifications JD from an ABA-accredited law school.
Admission to at least one U.S. state bar .
Minimum eight years of experience in financial services law , focusing on investment management, regulatory compliance, and capital markets.
At least five years of experience managing a team of lawyers and paralegals .
In-depth knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, the Investment Company Act and Investment Advisers Act of 1940, and SEC, FINRA, CFTC, and NFA regulations .
Proven experience in leading a legal team and handling complex financial matters independently.
Strong client relationship management skills with the ability to be a trusted advisor to senior executives.
Demonstrated ability to drive business development and contribute to firm growth.
Excellent written and verbal communication skills with strong attention to detail.
Ability to work both independently and collaboratively in a fast-paced, client-centric environment .
Location : While the position is remote, New York or Chicago candidates are preferred , and U.S.-based is required .
Travel: This position requires at least quarterly travel throughout the United States.
Minimum book of business is required.
Compensation and Benefits Competitive salary, with performance-based bonuses tied to business development and client acquisition.
Comprehensive benefits package, including health, dental, and vision insurance, 401(k) matching, and professional development opportunities.