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Broker Dealer Attorney Jobs (NOW HIRING)

Lawyers on Demand, a Consilio Company, is one of the largest and fastest growing global legal ... Address exchange and broker-dealer regulatory issues * Provide guidance on licensing and regulatory ...

$177 - $239/hr

Lawyers on Demand, a Consilio Company, is one of the largest and fastest growing global legal ... Address exchange and broker-dealer regulatory issues * Provide guidance on licensing and regulatory ...

Advise on broker-dealer obligations end-to-end, including FINRA rules, Regulation Best Interest and ... You can earn trust with lawyers, compliance professionals, engineers, operators, and commercial ...

The ideal candidate will have experience with the financial services industry, broker-dealer/securities law, FINRA and SEC regulatory investigations and enforcement proceedings, strong interpersonal ...

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Broker Dealer Attorney information

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$30.5K

$59.1K

$85K

How much do broker dealer attorney jobs pay per year?

As of Sep 5, 2026, the average yearly pay for broker dealer attorney in the United States is $59,058.00, according to ZipRecruiter salary data. Most workers in this role earn between $44,000.00 and $73,500.00 per year, depending on experience, location, and employer.

What is a broker dealer attorney?

A Broker Dealer Attorney is a legal professional who specializes in the laws and regulations governing broker-dealers—firms or individuals involved in the buying and selling of securities. They advise clients on compliance with federal and state securities laws, assist with registrations, help structure transactions, and represent clients in regulatory investigations or enforcement actions. Broker Dealer Attorneys play a critical role in ensuring their clients operate within the complex regulatory framework overseen by agencies like the SEC and FINRA.

What are the key skills and qualifications needed to thrive as a broker dealer attorney, and why are they important?

To thrive as a Broker Dealer Attorney, you need a Juris Doctor (JD) degree, state bar admission, and deep knowledge of securities laws and FINRA regulations. Familiarity with legal research tools such as Westlaw or LexisNexis and experience with compliance management systems are typically required. Strong analytical thinking, attention to detail, and effective communication skills are essential for advising clients and negotiating with regulators. These competencies ensure legal compliance, mitigate risks, and support clients in navigating the complex financial regulatory environment.

What are some common challenges broker dealer attorneys face when navigating regulatory compliance?

Broker Dealer Attorneys often encounter challenges related to the constantly evolving landscape of securities regulations and ensuring their clients' operations remain compliant with SEC and FINRA rules. Keeping up with frequent regulatory updates, managing complex disclosure requirements, and advising on issues such as anti-money laundering and cybersecurity are typical hurdles. Additionally, they must work closely with compliance officers, internal legal teams, and external regulators to interpret guidance and implement effective compliance programs while mitigating legal risks.

What is the difference between Broker Dealer Attorney vs Securities Compliance Officer?

AspectBroker Dealer AttorneySecurities Compliance Officer
CredentialsJ.D. degree, State Bar license, securities law certificationsDegree in finance, law, or related field; securities compliance certifications often preferred
Work EnvironmentLaw firms, in-house legal teams, regulatory agenciesFinancial firms, broker-dealers, investment firms
Employer & IndustryLegal service providers, broker-dealers, financial institutionsBroker-dealers, investment firms, financial services companies
Search & ComparisonLegal expertise in securities laws, regulatory compliance, legal adviceRegulatory adherence, internal compliance monitoring, risk management

While both roles focus on securities regulations, a Broker Dealer Attorney provides legal advice and handles legal matters related to broker-dealer operations, whereas a Securities Compliance Officer manages ongoing compliance programs within financial firms to ensure adherence to regulations.

More about Broker Dealer Attorney jobs

What cities are hiring for Broker Dealer Attorney jobs?

Cities with the most Broker Dealer Attorney job openings:

What states have the most Broker Dealer Attorney jobs?

States with the most job openings for Broker Dealer Attorney jobs include:

What job categories do people searching Broker Dealer Attorney jobs look for?

The top searched job categories for Broker Dealer Attorney jobs are:

Infographic showing various Broker Dealer Attorney job openings in the United States as of August 2026, with employment types broken down into 86% Full Time, 13% Part Time, and 1% Contract. Highlights an 71% Physical, 8% Hybrid, and 21% Remote job distribution, with an average salary of $59,058 per year, or $28.4 per hour.

ED, Alternative Investments Attorney

Morgan Stanley

Purchase, NY • On-site

Full-time

Posted 19 days ago


Key responsibilities

  • Advise on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities transactions.

  • Review and negotiate offering documents, distribution agreements, servicing agreements, and client account documentation related to alternative investment products.

  • Interpret relevant statutes, rules, and regulations applicable to wealth management products and services.


Morgan Stanley rating

8.3

Company rating: 8.3 out of 10

Based on 157 frontline employees who took The Breakroom Quiz

36th of 154 rated financial services


Job description

Morgan Stanley Wealth Management seeks an Executive Director level attorney to support its Alternative Investments and Private Markets platforms. The attorney will advise on the structuring, distribution, marketing, diligence and ongoing support of alternative investment and private markets products and private securities transactions. The position will be based at Wealth Management's headquarters in Purchase, NY.

This is a highly visible role within a sophisticated and fast-growing area of Morgan Stanley Wealth Management. The successful candidate will advise on complex products and transactions involving alternative investment funds, feeder funds, private equity, private credit, hedge funds, co-investments, direct private securities offerings, pre-IPO companies, and other private markets opportunities. The role requires sound legal judgment, strong commercial awareness, and the ability to provide practical, risk-based guidance in a dynamic business and regulatory environment.

The attorney will join a highly collaborative team of alternative investments and private markets attorneys and will report to the Managing Director responsible for legal coverage of these strategically important businesses. This role offers significant exposure to senior legal and business leadership and the opportunity to advise on some of Morgan Stanley Wealth Management's most sophisticated offerings, transactions, and initiatives. The successful candidate will also be a member of a broader group of advisory attorneys covering Morgan Stanley Wealth Management's products and services, and will work closely with legal colleagues across Wealth Management and other Morgan Stanley businesses.

Why This Role Is Compelling This role offers an opportunity to work at the intersection of law, business strategy, product innovation, and evolving regulation in one of the most important growth areas in wealth management. The attorney will have meaningful exposure to senior stakeholders and will help shape how complex alternative investment and private markets products are reviewed, structured, distributed, monitored, and supported across Morgan Stanley's platform. The following is an illustrative, non-exhaustive list of the types of matters the successful candidate will handle: > The distribution of complex fund or feeder fund offerings, including drafting and negotiating placement agent or other distribution agreements, custom fund offerings, servicing agreements, review of offering documents (e.g., Private Placement Memoranda and Limited Partnership Agreements) and ongoing fund communications

> Working on transactions involving the distribution of co-investments, secondaries and direct private securities offerings. > Advising on legal obligations arising in connection with investor relations, fund raising, distribution, marketing, and investing activities. > Provide legal advice on marketing materials and investor presentations (including track record data).

> Managing outside counsel on offering launches and other projects. > Reviewing early stage transaction documents (NDAs, term sheets, agreements). > Negotiating client account documentation related to alternative investment products and services and ongoing corporate communications.

> Interpreting relevant statutes, rules and regulations applicable to wealth management products and services. > Maintaining form agreements as well as working on discrete projects, regulatory inquiries, fund maintenance and other matters as appropriate. Experience/Qualifications > J.D

required. > A minimum of 5+ years of relevant experience at a top tier law firm and/or in-house, preferably with a financial services firm (including a bank, broker-dealer, investment advisory firm, private equity, real estate or hedge fund). > Strong experience with alternative investments and/or private markets.

> Experience reviewing and interpreting statutes, rules and regulations, with knowledge of U.S. securities laws (including Investment Advisers Act of 1940, Securities Act of 1933 (including Regulation D), the Securities Exchange Act of 1934, and the Investment Company Act of 1940). > Experience with co-investments, direct investments and/or secondary transactions in private securities is a plus

> Experience with broker-dealer/FINRA matters is a plus, along with related experience with applicable ERISA, anti-money laundering, data protection, and tax issues. > Candidates should have experience in complex transactions and projects and must be able to work independently when needed and also collaborate with cross functional groups. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals.

We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered.

Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Expected base pay rates for the role will be between $165,000 and $275,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.


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About Morgan Stanley

Sourced by ZipRecruiter

Since our founding in 1935, Morgan Stanley has been committed to serving local and global communities by being a market leader in Investment Banking, Securities, Investment Management and Wealth Management services. Our belief that capital can work to benefit all of society inspires us to put our clients first, lead with exceptional ideas, hold our business to high ethical standards, and give back to communities around the world through philanthropy and public works. We have a smart casual dress code and operate under a philosophy that balances work with your personal life. Our people's talent, passion, and expertise is the fuel on which our organization runs, therefore, our people are our greatest asset. Diversity and inclusiveness is a critical component for our success and it is our priority to continue building a firm that values the unique background and identity of every one of our employees, thus enabling our people to bring their full, and best selves to work each day. Teamwork is the essence of our approach, and so are the values of integrity, excellence, and enabling our people to achieve at the highest levels. We invite you to learn more about our commitment to diversity and serving our community.

Industry

Finance and insurance and software development

Company size

10,000+ Employees

Headquarters location

New York, NY, US