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Bring Precision to Securities Compliance Across Deals and Funds

Santa Monica, California Full time 3-6 years
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Position overview

Join a technology-focused legal team advising on securities offerings, private company financings, investment funds, capital markets transactions, and related compliance matters. This Santa Monica opportunity is focused on Blue Sky laws and federal securities exemptions, with meaningful responsibility for both regulatory advice and filing execution.

The Work

  • Advise on federal securities law exemptions, state Blue Sky laws, broker-dealer regulations, and related compliance matters.
  • Support securities offerings, private company financings, investment funds, capital markets transactions, and other securities matters.
  • Prepare and oversee Form D filings and applicable state securities filings through the NASAA Electronic Filing Depository.
  • Apply Regulation D, Section 4(a)(2), Rule 701, Regulation A, Rule 144, and state securities requirements to client matters.
  • Contribute to securities compliance analysis and filing work as part of the Technology group.

What You Bring

  • 3–6 years of relevant legal experience.
  • Significant experience advising on federal securities law exemptions and state Blue Sky laws.
  • Experience with broker-dealer regulations and related compliance matters.
  • Strong working knowledge of Regulation D, Section 4(a)(2), Rule 701, Regulation A, Rule 144, and applicable state securities requirements.
  • Experience preparing and overseeing Form D and state securities filings through the NASAA Electronic Filing Depository.
  • Experience supporting securities offerings, private company financings, investment funds, capital markets transactions, or other securities matters.

Why Consider It

This role combines focused Blue Sky and securities-regulatory work with involvement in a broad mix of offerings, private financings, funds, and capital markets matters.

It offers the opportunity to take meaningful responsibility for Form D and state filing execution while advising on federal and state requirements within a Technology group.

Confidentiality

This is a confidential opportunity. Contact Advocates Legal Recruiting to discuss the role and receive additional details about the client and team. All inquiries will be handled confidentially.