Financial Services Partner

Kaufman Dolowich LLP•,

About The Position

Kaufman Dolowich is seeking an experienced Partner to join its growing Financial Services and Institutions Practice. The ideal candidate will have a portable book of business, strong client and case management experience, and admission to practice in a jurisdiction where the firm has an office. Florida Bar admission is preferred. The role involves advising and defending broker-dealers, registered investment advisors, insurance agents, other financial services organizations, and individuals. The team represents clients in FINRA and other arbitrations, state and federal courts, and regulatory examinations and proceedings. The position includes managing matters from inception through resolution, providing strategic guidance to clients, collaborating with attorneys across offices and practice groups, and advising clients on compliance with legal and regulatory requirements. The firm describes its culture as collaborative and entrepreneurial, with mentorship and support, opportunities for professional growth, client development, and advancement, and meaningful client contact and hands-on litigation experience. Flexible work arrangements, including hybrid and fully remote options, are available; the specific arrangement will be determined collaboratively based on experience, responsibilities, and team needs.

Requirements

Admission to practice in the state in which the candidate resides.
At least 10 years of financial services litigation experience.
A portable book of business.
Strong client and case management experience.
Strong analytical, writing, research, and communication skills.
Ability to independently manage multiple matters in a fast-paced environment.
Excellent organizational, case management, and interpersonal skills.
Experience handling FINRA, AAA, and other arbitration proceedings, including customer and intra-industry disputes, on behalf of broker-dealers, investment advisors, and other financial services professionals.
Experience responding to FINRA, SEC, and state regulatory investigations and enforcement actions.
Experience defending financial services professionals in state and federal court actions.
Experience representing insurance agents in professional liability claims in state and federal courts and arbitration proceedings.

Nice To Haves

Admission to the Florida Bar.

Responsibilities

Manage arbitration, litigation, and regulatory matters from inception through resolution.
Communicate directly with clients, providing strategic guidance and regular case updates.
Collaborate with attorneys across offices and practice groups on financial services matters.
Consult with clients on compliance issues to help firms and individuals meet legal and regulatory requirements.
Handle FINRA, AAA, and other arbitration proceedings, including customer and intra-industry disputes, on behalf of broker-dealers, investment advisors, and other financial services professionals.
Respond to FINRA, SEC, and state regulatory investigations and enforcement actions.
Defend financial services professionals in state and federal court actions.
Represent insurance agents in professional liability claims in state and federal courts and arbitration proceedings.