Assistant Finra Attorney Jobs (NOW HIRING)

We are seeking an Investment & Wealth Management Counsel to join our Financial Services team. In this role, you will provide expert legal advice and support to our clients on investment advisory, fiduciary obligations, and wealth management matters, helping ensure regulatory compliance and mitigate risk.

• Draft, review, and negotiate investment advisory agreements, trust agreements, and related wealth management documentation.
• Provide legal guidance on fiduciary duties and standards of care, including compliance with SEC and FINRA regulations.
• Advise clients on asset allocation and portfolio diversification strategies in the context of wealth management and investment advisory services.
• Support clients with regulatory compliance under the Investment Advisers Act of 1940 and other applicable securities regulations.
• Assist in the development and implementation of tailored wealth strategies and conduct fiduciary reviews for investment and advisory programs.
• Collaborate with internal legal, compliance, and financial teams, as well as external advisors, trustees, and portfolio managers.
• Provide counsel on investment structures, including unregistered funds and private investment vehicles.
• Manage fiduciary, compliance, and investment-related legal matters for clients in the financial services, private wealth, and credit sectors.
• Monitor industry developments and regulatory updates impacting investment advisors, fiduciaries, and wealth managers to provide proactive guidance.

• 6+ years of experience advising on investment advisory, wealth management, or fiduciary compliance matters.
• Strong understanding of fiduciary duties and standards of care, including compliance with SEC and FINRA regulations.
• Experience advising clients on asset allocation, portfolio diversification strategies, and wealth management matters.
• Demonstrated experience drafting investment advisory agreements and trust agreements.
• Knowledge of the Investment Advisers Act of 1940 and related regulatory frameworks.
• Experience working with unregistered funds or private investment vehicles.
• Juris Doctor (JD) and licensed to practice law in an applicable jurisdiction.
• Strong communication, negotiation, problem-solving, and technology skills.

• Experience with private wealth, private credit, or alternative investment strategies.
• Background advising on complex trust structuring and tailored wealth strategies.
• Experience conducting fiduciary reviews and regulatory risk assessments.
• Familiarity with institutional investment advisory, pension funds, or ERISA-related matters.

The estimated total compensation for full-time Axiom attorney roles is $104,500-325,000 per year and for non-attorney roles is $71,250-309,750 per year. Compensation decisions are based on various factors, including, but not limited to, experience, skills, certifications, location, and business needs.  Employees may be eligible for additional benefits, including health, dental, and vision insurance; paid holidays and PTO; flexible work arrangements; and professional development opportunities and tools.

For over 25 years, Axiom has pioneered the alternative legal services industry, now serving more than 1,500 legal departments globally with our unique blend of world-class legal talent and advanced AI tools, delivering innovative solutions ranging from that combine top-tier talent with cutting-edge technology. We tackle complex legal matters across 12 practice areas for clients ranging from Fortune 100 to SMBs, empowering our legal professionals to engage in meaningful work that advances their careers. Our Talent NPS score of +71% and our Client NPS score of +64% highlight our commitment to excellence (Reported scores were Axiom's average for 2025 - the legal industry average NPS score is +35%). Join our forward-thinking community where you'll keep your career dynamic and multi-faceted, be part of a company that values agility, collaboration, and excellence, and love both the law and your life.

Learn more about life at Axiom. 

Axiom is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and APAC, we enable legal departments to drive efficiency and growth and meet the demands of today's business landscape with best in class alterative legal services.  

Diversity is core to our values and we are proud to be an equal opportunity employer. Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, sex, gender, gender identity, gender identity status, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.

Upon request and consistent with applicable laws, Axiom will provide reasonable accommodations for individuals with disabilities who require accommodations to participate in each stage of the recruitment process. To request an accommodation, please contact benefits@axiomlaw.com.

Axiom respects your privacy. For an explanation of the kind of information we collect about you and how it is used, our full data privacy notice is available here.   

Employment with Axiom may be contingent upon successful completion of a background check, providing proof of identity, and possessing the necessary legal authorization to work. Pursuant to the San Francisco Fair Chance Ordinance, NY Fair Chance Act, and Los Angeles Fair Chance Initiative, we will consider for employment qualified applicants with arrest and conviction records.