Recruiter

Seattle, WA, United States

Mid-Level - Senior Financial Services Compliance And Regulatory Associate Attorney

Attorney

1-8 yrs required

Full-time

No

Job Overview:

A law firm is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney to join its team in Seattle, WA. The ideal candidate will have substantial experience in compliance and regulatory matters, with a focus on counseling registered investment advisors and broker-dealers. This position requires a strong understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. The candidate must be committed to outstanding client service and possess exceptional communication skills.

Duties:

• Counsel registered investment advisors and broker-dealers on regulatory and compliance-related issues.
• Conduct statutory and regulatory analysis and application.
• Draft and review legal documents related to securities offerings.
• Advise on corporate governance principles.
• Interact and negotiate with regulators, including the SEC and FINRA.
• Provide ongoing compliance support and training to clients.
• Assist in the development and implementation of compliance programs and policies.
• Monitor regulatory changes and update clients accordingly.
• Represent clients in regulatory examinations and enforcement actions.

Requirements:

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Experience working with registered investment advisors and broker-dealers.
• Proficient in statutory and regulatory analysis and application.
• Strong legal writing skills.
• Knowledge of securities offerings and corporate governance principles.
• Experience with regulators such as the SEC and FINRA.
• Outstanding oral and written communication skills.
• Commitment to client service.
• Prior experience in a law firm or at the SEC or FINRA is preferred.
• Must be a member of the WA Bar and be in good standing.

Education:

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

Certifications:

• Active membership in the Washington State Bar Association.

Skills:

• Statutory and regulatory analysis
• Legal writing
• Securities offerings
• Corporate governance principles
• Client counseling
• Regulatory negotiation and interaction
• Compliance program development
• Outstanding communication skills

Benefits:

• Bonus
• Health insurance with 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
• Voluntary programs: accident insurance, life insurance, disability insurance, long-term care insurance, pet insurance
• Commuter and Transit programs

Job Location:

• Seattle, WA

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