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

3-10 yrs required

Full-time

No

Job Overview: A law firm in Anchorage, AK, is seeking a Mid-to Senior-level Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate should possess a minimum of 4 years of experience in compliance and regulatory matters, with a focus on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. The candidate must demonstrate proficiency in statutory and regulatory analysis, legal writing, securities offerings, and corporate governance principles. Experience with regulatory bodies such as the SEC and FINRA is crucial, along with excellent communication skills and a commitment to client service.

Duties:

• Provide counsel and guidance on regulatory and compliance matters to registered investment advisors and broker-dealers.
• 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 adherence to compliance standards.
• Represent clients in dealings with regulatory bodies, particularly the SEC and FINRA.
• Stay abreast of industry developments and changes in financial services regulations.
• Maintain a proactive approach to addressing and resolving compliance-related issues.

Requirements:

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

Education:

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

Certifications:

• Active membership in the AK Bar.

Skills:

• Strong understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Proficient in statutory and regulatory analysis.
• Excellent legal writing skills.
• Familiarity with securities offerings.
• Knowledge of corporate and governance principles.
• Experience working with regulators, particularly the SEC and FINRA.
• Outstanding oral and written communication skills.
• Commitment to providing exceptional client service.

Job Location: Anchorage, AK

Benefits: The firm offers a comprehensive benefits package, including a 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, sick time, and an employee assistance program. Additional voluntary programs include voluntary accident insurance, voluntary life, voluntary disability, voluntary long-term care, and pet insurance.

Legal