Senior Securities Attorney (In-House)

Epiq Counsel is supporting a fully remote, part-time (20-30 hours per week) engagement our U.S. financial services client.

This attorney will serve as a trusted advisor to the business to advise on complex and strategic issue spotting in a highly regulated environment.

Qualifications

• JD Degree from an accredited institution.
• 10+ years of experience practicing as a federal securities attorney, with significant focus on investment management and wealth management matters, including offerings, exemptions, and pooled investment products.
• Very deep knowledge of U.S. federal securities laws, including the Investment Advisers Act, Securities Exchange Act of 1934, Investment Company Act, broker‑dealer regulations, and best practices around disclosure for investment products.
• Extensive experience advising on investment adviser and broker‑dealer regulatory issues.
• Experience with stable value funds and retirement‑related investment products is strongly preferred.
• Ability to operate comfortably as a senior, autonomous advisor in a professional services environment.
• Active bar license in good standing in the state in which you currently reside.
• Epiq Counsel partners with industry-leading clients in support of their sophisticated interim talent needs. Must be interested in practicing in an alternative, fixed-term legal services model.

Key Responsibilities

• Advise on federal securities law issues related to investment management and wealth management initiatives, including compliance with exemptions governing pooled investment products.
• Support the launch, structuring, and ongoing operation of collective investment trusts and other investment vehicles, including disclosure and offering documentation.
• Provide guidance on regulatory matters involving the Investment Advisers Act, Securities Exchange Act of 1934, Investment Company Act, broker‑dealer regulations, and best practices under the Securities Act of 1933.
• Counsel on the offering, marketing, and disclosure of investment products, ensuring regulatory compliance while supporting business goals.
• Advise on regulatory considerations for a “concierge” or referral desk designed to support retirement plan participants transitioning from employer‑sponsored retirement plans to IRAs, including broker‑dealer, investment adviser, and related securities law implications.
• Work independently with senior leaders to proactively identify legal risks, assess regulatory exposure, and develop actionable solutions.

Benefits

• Fully remote arrangement through Epiq Counsel.
• Compensation commensurate with experience.
• Senior‑level advisory role with meaningful autonomy and visibility.
• 401(k) with company match
• PTO and paid federal holidays.
• Optional medical coverage; HSA Account; Wellness Program
• Employee Assistance Program
• Pre-tax Commuter Benefits (as applicable)

Should your experience meet the role requirements, the Epiq Counsel team will contact you. The Epiq Counsel team strives to respond to all applications; however due to the volume of applicants, we cannot always respond to every application.

About Epiq Counsel 

Epiq Counsel helps manage in-house workflow by engaging experienced legal professionals. Engage lawyers, paralegals, contract negotiators, and legal operations experts, on an interim basis to: Manage workflow spikes or fill gaps in your department due to attrition, leaves, or a hiring freeze, Increase the capacity of your team on a flexible basis without adding a permanent headcount, add specialized expertise to support projects such as a new product launch or policy drafting required by a regulatory change, and enable your legal department to keep pace with the business.

It is Epiq’s policy to comply with all applicable equal employment opportunity laws by making all employment decisions without unlawful regard or consideration of any individual’s race, religion, ethnicity, color, sex, sexual orientation, gender identity or expressions, transgender status, sexual and other reproductive health decisions, marital status, age, national origin, genetic information, ancestry, citizenship, physical or mental disability, veteran or family status or any other basis protected by applicable national, federal, state, provincial or local law. Epiq’s policy prohibits unlawful discrimination based on any of these impermissible bases, as well as any bases or grounds protected by applicable law in each jurisdiction. If you need assistance or an accommodation during the application process because of a disability, it is available upon request. Epiq is pleased to provide such assistance and no applicant will be penalized as a result of such a request. Pursuant to relevant law, where applicable, Epiq will consider for employment qualified applicants with arrest and conviction records.