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 Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with a minimum of 4 years of experience in handling compliance and regulatory matters. The ideal candidate will play a crucial role in advising 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.

Duties:

• Provide comprehensive legal counsel on regulatory and compliance matters, focusing on issues related to 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 with relevant laws.
• Offer guidance on securities offerings, corporate governance principles, and other related financial services matters.
• Collaborate with clients, demonstrating outstanding communication skills, both oral and written, and maintaining an unwavering commitment to client service.
• Utilize experience in working with regulators, particularly the SEC and FINRA, to address and resolve regulatory challenges effectively.

Requirements:

• Minimum of 4 years of experience in financial services compliance and regulatory matters.
• Membership in the CA Bar in good standing is mandatory.
• Prior law firm experience or work experience at the SEC or FINRA is preferred.

Education:

• Juris Doctor (JD) degree from an accredited law school.

Certifications:

• Admission to the California Bar.

Skills:

• Strong statutory and regulatory analysis and application skills.
• Proficient in legal writing with a keen understanding of securities offerings.
• Familiarity with corporate and governance principles.
• Experience in dealing with regulators, including the SEC and FINRA.
• Outstanding communication skills, both oral and written.

Benefits: The firm offers a comprehensive benefits package, including:

• Bonus
• Health insurance with an optional Health Savings Account (HSA)
• Short-term disability and long-term disability coverage
• Dental insurance and vision care
• Life insurance
• Healthcare and Dependent Care Flexible Spending Accounts
• 401(k) retirement plan
• 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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