Legal Domain Expert – Securities Law at Truelancer

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.