Securities Counsel (Marketing & Advertising Compliance)
This is a remote position.
We are only accepting Filipino Citizen candidates for this role
About the Role
We are seeking an experienced Securities Counsel to serve as our legal compliance reviewer for all public-facing marketing and communications. This role is critical to ensuring that every piece of published content complies with applicable securities laws and regulatory requirements. You will review websites, landing pages, advertising campaigns, video scripts, social media content, email campaigns, and other promotional materials before publication. This position plays a key role in protecting the company's regulatory standing while enabling effective marketing initiatives. This is a flexible, project-based engagement for an attorney with significant experience in securities law and financial marketing compliance.
Responsibilities
Review all marketing and promotional content prior to publication. Evaluate website copy, landing pages, digital advertisements, email campaigns, and social media content for compliance with securities regulations. Review video scripts, webinars, presentations, and educational materials. Identify legal and regulatory risks related to investment-related communications. Provide clear guidance and required revisions to ensure compliance. Advise marketing, executive, and content teams on compliant messaging. Stay current on applicable SEC, FINRA, and other relevant regulatory requirements. Help establish internal review processes and compliance standards.
Requirements
Qualifications Juris Doctor (JD) preferred Extensive experience in securities law and regulatory compliance. Strong knowledge of SEC regulations, FINRA advertising rules, and investment-related communications. Experience reviewing financial marketing materials and public communications. Ability to provide practical, business-oriented legal guidance.. Excellent written and spoken English with the ability to communicate legal guidance clearly to non-legal teams. Strong attention to detail and sound legal judgment. Ability to work independently in a remote environment.
Preferred Qualifications
Experience working with investment firms, broker-dealers, registered investment advisers (RIAs), private equity firms, fintech companies, or publicly traded companies. Previous experience supporting marketing or communications teams within the financial services industry. Experience reviewing digital advertising campaigns, websites, video content, and public relations materials. Familiarity with Google and Meta advertising policies for financial products. Experience supporting SEC-registered offerings or capital-raising activities.