• Associate General Counsel - Broker-Dealer…

    Robert Half Legal (San Diego, CA)


    Description

    Financial Services Company Seeks Senior Attorney Focused on Broker-Dealer Compliance & FINRA Arbitrations

    About Firm & Position:

    A well-established financial services organization is seeking a Associate General Counsel – Broker-Dealer Regulatory Compliance to join its growing corporate legal department. This position will report directly to executive leadership and play a pivotal role advising key business units on a wide range of broker-dealer and investment advisory compliance issues. The firm has a reputation for internal promotion, work-life balance, and a collaborative, business-minded legal team.

     

    100% remote in US: This is a true lifestyle attorney role—100% remote, capped at 40 hours per week, with sophisticated legal work in a supportive, non-law firm culture.

    Counsel Responsibilities:

    + Serve as day-to-day legal advisor to the broker-dealer and investment advisory platforms, focusing on regulatory compliance and risk mitigation.

    + Respond to and manage FINRA arbitrations and regulatory inquiries, including overseeing document production and drafting responses in coordination with internal stakeholders.

    + Provide legal analysis and develop policies in response to regulatory developments.

    + Manage and mentor a team of attorneys focused on regulatory oversight and governance.

    + Interface regularly with Compliance and Risk departments to ensure enterprise-wide adherence to securities regulations.

     

    TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham at Samantha [dot] Graham [at] RobertHalf [dot] [com]

    Requirements

    + 5+ years of industry experience

    + Active bar license in NY or CA

    + JD from accredited law school

    + Extensive knowledge of SEC, FINRA, and state securities regulations

    + Demonstrated experience handling or responding to FINRA arbitrations or regulatory proceedings

     

    TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham at Samantha [dot] Graham [at] RobertHalf [dot] [com]

     

    Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

     

    Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

     

    All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

     

    • 2025 Robert Half. Robert Half is not a law firm and does not provide legal representation. Robert Half project lawyers do not constitute a law firm among themselves. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .