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

3-10 yrs required

Full-time

No

Job Overview: A law firm in Washington, DC, is seeking a Mid-to-Senior Associate-level Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will possess a minimum of 4 years of experience in compliance and regulatory matters, particularly in advising registered investment advisors and broker-dealers on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Provide legal counsel on regulatory and compliance matters, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and apply findings to client situations.
• Draft and review legal documents, including securities offerings.
• Collaborate with internal and external stakeholders to ensure compliance with corporate and governance principles.
• Communicate effectively with clients, regulators, and internal teams.
• Stay informed about changes in financial services regulations and advise clients accordingly.

Requirements:

• Minimum of 4 years of experience in compliance and regulatory matters.
• Experience advising registered investment advisors and broker-dealers.
• Familiarity with the SEC and FINRA regulatory environment.
• Outstanding communication skills, both oral and written.
• Membership in the District of Columbia Bar in good standing.
• Prior experience in a law firm or at the SEC/FINRA is preferred.

Education:

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

Certifications:

• Member of the District of Columbia Bar in good standing.

Skills:

• Strong understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Statutory and regulatory analysis and application.
• Legal writing proficiency.
• Knowledge of securities offerings.
• Familiarity with corporate and governance principles.

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

• Bonus
• Health insurance with optional Health Savings Account (HSA)
• Short-term 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

Additionally, voluntary programs are available, such as:

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

Legal