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Shape Securities Compliance Across Private Financings and Capital Markets

New York City, New York Full time 3-6 years
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Position overview

Our client is seeking an attorney with 3–6 years of experience to work on Blue Sky laws and related securities matters within its Technology group. The role combines detailed regulatory analysis and filing responsibilities with exposure to offerings, private company financings, investment funds, and capital markets transactions.

The Work

  • Advise on federal securities-law exemptions, state Blue Sky requirements, broker-dealer regulations, and related compliance matters.
  • Prepare and oversee Form D and state securities filings, including submissions through the NASAA Electronic Filing Depository (EFD).
  • Support securities offerings and private company financings by addressing applicable federal and state securities requirements.
  • Contribute to matters involving investment funds, capital markets transactions, and other securities matters.
  • Apply relevant securities frameworks, including Regulation D, Section 4(a)(2), Rule 701, Regulation A, and Rule 144, to matter-specific compliance questions.

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 NASAA’s Electronic Filing Depository (EFD) is required.
  • Experience supporting securities offerings, private company financings, investment funds, capital markets transactions, or other securities matters.

Why Consider It

This role offers a focused opportunity to work on Blue Sky and securities compliance within a Technology group while supporting a varied mix of offerings, private company financings, fund matters, and capital markets transactions.

The work combines regulatory analysis with hands-on responsibility for Form D and state filing processes, including NASAA EFD submissions.

Compensation & Benefits

The supplied base-compensation estimate is $260,000–$390,000, based on the 2026 Cravath base scale and subject to confirmation; it is not a firm-stated range.

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.