Legal Domain Expert – Securities Law

Engagement Overview

We are seeking an experienced Securities Law Legal Domain Expert with strong expertise in United States Federal Securities Law and financial-services regulation to support the evaluation of advanced AI systems.

The selected expert will support legal research, regulatory analysis, citation verification, factuality assessment, and evaluation of AI-generated legal reasoning. The role requires specialized knowledge of SEC regulations, FINRA requirements, broker-dealer compliance, and securities regulatory matters.

Engagement Details

• Engagement Type: Ongoing / Recurring Project-Based Engagement
• Workload: Flexible / Based on Task Volume
• Experience: 3+ years of relevant securities law experience 
• Work Location: Remote
• Jurisdiction: United States – Federal
• Hiring Priority: Immediate

Key Expertise:

The ideal candidate should have demonstrated expertise in:

• U.S. Federal Securities Law

• SEC regulations and regulatory requirements

• SEC enforcement matters

• FINRA compliance

• FINRA Rule 3270

• Forms U4 and U5

• BrokerCheck

• Broker-dealer regulatory requirements

• Securities compliance and regulatory advisory

• Financial-services regulation

• Securities-related legal research and statutory analysis

Key Responsibilities

• Conduct comprehensive legal and regulatory research relating to U.S. securities law.
• Analyze SEC regulations, FINRA rules, enforcement actions, and other authoritative regulatory materials.
• Evaluate AI-generated legal research and responses for legal and factual accuracy.
• Establish ground-truth information for securities law and financial regulatory questions.
• Verify citations and assess whether legal claims are directly supported by authoritative sources.
• Analyze the applicability and hierarchy of federal securities authorities and regulatory requirements.
• Research and interpret FINRA rules, including FINRA Rule 3270.
• Analyze matters involving Forms U4/U5, BrokerCheck, securities compliance, and regulatory obligations.
• Review and draft legal memoranda, compliance documentation, regulatory analyses, and related legal materials.
• Identify unsupported claims, incorrect regulatory interpretations, and legal reasoning failures.
• Develop objective evaluation rubrics and criteria for assessing AI-generated legal responses.
• Provide detailed feedback to AI research and factuality teams.
• Maintain high standards of accuracy, regulatory precision, and source verification.

Candidate Requirements

• Licensed Attorney, JD/LL.M. graduate, Senior Legal Researcher, or experienced Paralegal with relevant securities law expertise.

• Minimum 3+ years of relevant securities law, regulatory, compliance, or legal research experience.

• Strong knowledge of U.S. Federal Securities Law.

• Demonstrated experience with SEC and/or FINRA regulatory requirements.

• Familiarity with FINRA Rule 3270, Forms U4/U5, BrokerCheck, and securities compliance.

• Strong legal and regulatory research capabilities.

• Excellent statutory and regulatory interpretation skills.

• Strong understanding of primary legal and regulatory authority.

• Demonstrated legal drafting and documentation experience.

• Strong citation verification and source-validation skills.

• Ability to independently research and analyze complex securities law questions.

Preferred Qualifications

• Active or previous U.S. bar admission.
• Experience with SEC enforcement, broker-dealer regulation, investment firms, or financial-services compliance.
• Experience advising clients on securities regulatory matters.
• Familiarity with FINRA and SEC databases and regulatory resources.
• Experience in regulatory investigations, compliance reviews, or enforcement-related matters.
• Experience evaluating AI-generated legal content or conducting legal quality assurance.
• Experience developing legal evaluation rubrics or factuality-review frameworks.

Ideal Candidate

The ideal candidate is a specialized U.S. securities law professional with strong practical knowledge of SEC regulations, FINRA compliance, and financial-services regulatory requirements. The candidate should be capable of conducting authoritative regulatory research, validating citations, identifying unsupported claims, and evaluating the accuracy of AI-generated legal reasoning. 

Specialized U.S. securities/regulatory experience, verifiable credentials, and immediate availability are strongly preferred.