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Job Description
- Req#: 231008
- Provide guidance on securitizations, asset-backed securities (ABS), Rule 144A offerings, and 4(a)(2) private placements, including structuring, disclosure, and regulatory issues
- Advise on regulatory frameworks including FINRA rules and SEC regulations, particularly as they impact broker-dealer compensation, conflicts, and marketing
- Collaborate with compliance, finance, capital markets, and operations to align on transaction mechanics, engagement limitations, and fee structures
- Learn current workflow process and assist with building them out further
J.D. from an accredited law school; licensed to practice in US; a member of a state bar in good standing- 6+ years of combined law firm and in-house broker-dealer experience, with substantial focus on engagement letters for investment banking transactions
- Expertise in FINRA rules, SEC regulations, securitizations, ABS, 144A, and 4(a)(2) private placements, Securities Act of 1933, and Securities Exchange Act of 1934
- Strong ability to translate legal requirements into practical, business-focused solutions and advise on fee structures and risk allocation
- Experience building legal processes while handling day-to-day transactional volume
- Collaborative, pragmatic, and resilient, with the ability to succeed in a demanding, fast-paced environment
- Strong understanding of broker-dealer conflicts
- Understanding private funds and registered investment advisor regulations is preferred
All interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration.
Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws.
Bullhorn Job ID: 231008
Pay Rate: $108
Major, Lindsey & Africa’s Interim Legal Talent group has an immediate need for an interim Broker-Dealer Attorney.
Major, Lindsey & Africa is seeking an experienced Broker-Dealer Attorney to join our Legal team on an interim basis. This role is critical to ensuring our engagement letters— the foundation of every transaction— clearly reflect what we can and cannot do, the risks involved, and how the firm earns its fees. The ideal candidate will bring deep experience with broker-dealer engagements and investment banking transactions, paired with the ability to serve as a practical business partner to capital markets, compliance, finance, and operations.
Institutional fixed-income broker-dealer
6+ years of combined experience in a law firm and as legal counsel in investment banking, broker-dealer, or private fund environments
Remote
Lead drafting, review, and negotiation of engagement letters for investment banking and capital markets transactions, ensuring scope, risk allocation, compensation, and regulatory compliance are clearly definedAbout the company
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