Cole-Frieman & Mallon LLP · 2 weeks ago
Corporate and Securities Associate
New York, NY
Full-time
Hybrid
Mid Level
$115K/yr - $225K/yr
3+ years expCole-Frieman & Mallon LLP is a prestigious boutique law firm based in San Francisco, serving a robust national practice. They are seeking a Corporate & Securities Associate to engage in corporate and securities transactions with a focus on blockchain and cryptocurrency, advising on securities laws and supporting various financial transactions.
BankingConsultingFinancial Services
Responsibilities
Provide legal advice on federal and state securities laws and regulations, including SEC, Blue Sky, and NYSE compliance
Support offerings under Regulations A, D, S, and CF, and oversee entity formation and management contracts
Advise on legal aspects of token compensation and issuances, Security Token Offerings (STOs), stablecoins, exchanges and trading platforms, and other blockchain-related financial products
Apply advanced knowledge of the legal landscape in blockchain, cryptocurrency, and digital assets
Demonstrate expertise in FINRA and broker-dealer issues and advise on ETFs, including regulatory filings, compliance, and board matters
Conduct legal research and provide guidance on emerging legal issues in securities, cryptocurrency, and fintech
Collaborate with offshore counsel and clients’ internal teams (finance, compliance, and product development) to ensure legal compliance and mitigate risks
Assist with capital markets transactions and special corporate projects, including token treasury management, mergers, acquisitions, and strategic initiatives
Develop and implement policies and procedures to ensure regulatory compliance
Qualification
Required
Active membership (in good standing or pending) with the California, New York, or Colorado State Bar
Minimum of 3 years of legal experience in securities law, with at least 2 years focused on cryptocurrency, blockchain, and digital assets
Strong expertise in securities laws, including the 1933 and 1934 Acts, and experience with hedge fund formation, ICOs, STOs, and blockchain-related financial products
In-depth understanding of federal and state securities laws, SEC regulations, FINRA, and broker-dealer issues
Experience advising on ETFs, smart contracts, and the regulatory landscape surrounding cryptocurrency and blockchain technology
Excellent interpersonal skills, with the ability to clearly communicate complex legal concepts to non-legal stakeholders
High level of integrity, professionalism, and attention to detail, along with excellent analytical, research, and drafting skills
Experience working with or within regulatory agencies such as the SEC or other relevant authorities
Preferred
Familiarity with the Investment Advisers Act, Investment Company Act, offshore funds, and parallel fund structures is a plus
Benefits
401(k)
401(k) match
Profit sharing
Paid time off
Paid holidays
Paid CLEs
Medical, vision, and dental plans
Company
Cole-Frieman & Mallon LLP
Cole-Frieman & Mallon LLP is a leading investment management law firm known for providing top-tier, innovative, and collaborative legal solutions for complex financial services matters.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Bart Mallon
Co-Managing Partner
Recent News
2023-01-20
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