Pay: Base Salary $75,000.00 per year + substantial commission opportunity to earn well into six figures within the first year.

Headquartered in Broomfield, Colorado, AdvisorLaw boasts the largest percentage of FINRA arbitration claims in the industry. We provide nationwide representation and consulting to hundreds of financial advisors and wealth managers. We only advocate on behalf of Licensed Professionals — never for the investor or broker-dealer. The majority of our clients are motivated to call us to handle the reporting or removal of customer dispute disclosures, allegations accompanying termination, increased book valuation, recruiting/transitioning assistance, or to avoid FINRA, SEC, or state regulator fines, suspensions, license revocations, and more.

AdvisorLaw is a fast-growing company seeking individuals who enjoy doing impactful work in a relaxed business environment.

AdvisorLaw is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability, protected veteran status or any other status protected by applicable law.

POSITION SUMMARY:

An AdvisorLaw Associate Attorney will manage the substance and procedural aspects of arbitration proceedings for both Customer and Industry disputes within various forums — primarily the FINRA Dispute Resolution arbitration forum. In addition, the position will entail advocacy and representation pertaining to regulator inquiries/investigations, OTR’s, and other law-related services provided to Licensed Professionals.

ESSENTIAL FUNCTIONS:

• Represent Financial Advisors in regulatory matters, including, but not limited to, seeking the removal of disclosures and allegations from their CRD Records.
• Prepare clients for and represent them in regulatory proceedings.
• Foster and cultivate strong client relationships through consistent communication, with a focus on making value-add recommendations of additional solutions AdvisorLaw may provide.
• Delegate tasks to production team members to comply with all deadlines.
• Manage and monitor all assigned cases.
• Help identify processes and procedures that improve efficiency and cost savings.
• Conduct or supervise legal/regulatory research.
• Affiliate Of Counsel with outside law firm for specific client cases.
• Perform other duties as assigned by the Managing Associates and President & Founder.

QUALIFICATIONS & SKILLS:

• Juris Doctor Degree from an accredited law school
• Active Admission with any state bar in the U.S.
• Willingness to learn the nuances of the FINRA Arbitration process
• Must be team oriented and have a desire and mindset to work in a fast-paced startup operation
• Can apply logical thinking to define problems, collect data, and draw valid conclusions.
• Excellent verbal and written communication skills, with demonstrated ability to articulate relevant information in a concise manner.
• Demonstrated ability to work independently with minimal supervision.
• Exceptional interpersonal skills with experience working with diverse teams.
• Self-starter, proactive, creative thinker, problem solver, positive attitude.
• Strong attention to detail, organizational and time management skills.
• High level of integrity, respect for confidential and sensitive information.

CULTURE/ENVIRONMENT:

• Casual, fun, drama-free work environment.
• Frequent computer work at a fast pace in a normal office environment.
• Flex-time between 6 am and 6 pm, Monday through Friday.

PHYSICAL DEMANDS

• Mobility among workstations.
• Lifting office supplies and setting up work stations (if necessary).
• ADA: AdvisorLaw will make reasonable accommodations in compliance with the Americans with Disabilities Act of 1990.

BENEFITS & PERKS

• Substantial commission opportunities available.
• Discretionary performance bonuses.
• 15 days PTO per calendar year plus 9 Market Holidays.
• Health insurance options including supplementary benefits and HSA/FSA options.
• Flexible work hours.
• No cost gym membership.
• 401(k) Retirement Savings & Employer Match (eligibility after 1 year of employment).

This job description will be reviewed periodically as duties and responsibilities change with the business necessity. Essential and marginal job functions are subject to modification at any time with or without notice.

The application deadline for this position is September 18th, 2024.