Legal and Compliance Consultant

Job Opportunity: Remote Lawyer at LawVisory



LawVisory is seeking a skilled full-time remote lawyer with expertise in legal and compliance matters. Ideal candidates will have prior experience working with U.S.-based clients. This role will be integral in supporting our legal and compliance team.



Key Responsibilities:



Compliance Functions:

- Apply knowledge of regulations for registered investment advisors, including those under the SEC, state regulations, the Investment Advisers Act of 1940, and the Securities Exchange Act of 1934.

- Draft and update clients' policies and procedures.

- Provide regulatory advice and assist in audits and examinations by the SEC, FINRA, and state regulators.

- Manage regulatory filings and ensure comprehensive compliance program documentation, including risk assessments and annual reviews.



Legal Functions:

- Draft and review various types of agreements such as operating agreements, profit-sharing agreements, and investment advisor representatives agreements.

- Offer legal and regulatory advice as needed by clients.



Qualifications:

- Qualified Lawyer

- Proven experience with U.S. clients in legal matters.

- Strong understanding of relevant regulations and compliance requirements.

- Excellent written and verbal English communication skills.

- Experience in drafting and reviewing legal documents.



If you’re a dedicated professional with a strong background in legal and compliance matters, please apply to this application with specifics on how your experience is relevant to what is needed for this role.