Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney

3-10 yrs required

Full-time

No

Job Overview: A law firm in Los Angeles, CA, is seeking a qualified Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with a minimum of 4 years of experience in compliance and regulatory matters. The ideal candidate will be crucial in advising and counseling registered investment advisors and broker-dealers on various regulatory and compliance issues, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Job Details:

• Experience Requirement:

  • Minimum of 4 years of experience working on compliance and regulatory matters.

• Responsibilities:

  • Provide legal counsel on regulatory and compliance-related issues, particularly about the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Conduct statutory and regulatory analysis and apply legal expertise to ensure compliance.
  • Handle legal writing tasks, securities offerings, and corporate governance principles.
  • Interact with and navigate regulatory processes with entities such as the SEC and FINRA.
  • Demonstrate an unrelenting commitment to client service with outstanding oral and written communication skills.

• Preferred Qualifications:

  • Prior experience in a law firm or work experience at the SEC or FINRA.
  • Membership in the CA Bar in good standing.

• Location:

  • Los Angeles, CA.

Benefits: The law firm offers a comprehensive benefits package, including but not limited to:

• Bonus
• Health insurance with an optional HSA
• Short-term disability
• Long-term disability
• Dental Insurance
• Vision care
• Life insurance
• Healthcare and Dependent Care Flexible Spending Accounts
• 401(k)
• Vacation and sick time
• Employee assistance program

Additional Voluntary Programs:

• Voluntary accident insurance
• Voluntary life insurance
• Voluntary disability insurance
• Voluntary long-term care insurance
• Pet insurance

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