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

3-10 yrs required

Full-time

No

Job Overview: A law firm in Chicago, IL, is seeking a Mid-to Senior-level Financial Services Compliance and Regulatory Associate Attorney with at least 4 years of relevant experience. The ideal candidate will be crucial in advising registered investment advisors and broker-dealers on regulatory and compliance matters, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Job Details:

Duties:

• Provide counsel on regulatory and compliance issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analyses and apply findings to specific cases.
• Handle legal writing tasks, including drafting documents related to securities offerings.
• Apply knowledge of corporate and governance principles to ensure compliance.

Requirements:

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Prior experience with regulators, particularly the SEC and FINRA.
• Excellent oral and written communication skills.
• Unrelenting commitment to client service.
• Membership in the IL Bar in good standing.

Education:

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

Certifications:

• Active membership in the Illinois State Bar.

Skills:

• Strong understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Proficiency in statutory and regulatory analysis.
• Exceptional legal writing skills.
• Familiarity with securities offerings.
• In-depth knowledge of corporate and governance principles.

Job Location: Chicago, IL

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

• 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 include:

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

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