Recruiter

Los Angeles, CA, 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 in Los Angeles, CA, is seeking a Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role requires a seasoned professional with substantial experience in compliance and regulatory matters within the financial services sector. The ideal candidate will have a strong background in advising registered investment advisors and broker-dealers on regulatory issues, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Advise and counsel registered investment advisors and broker-dealers on compliance and regulatory issues.
• Analyze and apply statutory and regulatory requirements related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis to ensure adherence to compliance standards.
• Draft and review legal documents, including regulatory filings and compliance reports.
• Represent clients in interactions with regulatory bodies such as the SEC and FINRA.
• Develop and implement compliance programs and policies for clients.
• Provide legal advice on securities offerings, corporate governance, and related matters.
• Assist in the preparation and submission of regulatory filings and reports.
• Stay updated on changes in laws and regulations affecting the financial services industry.
• Provide exceptional client service with an emphasis on effective communication and problem-solving.

Requirements:

• Minimum of 4 years of experience in compliance and regulatory matters related to financial services.
• Experience working with registered investment advisors and broker-dealers.
• Proficiency in statutory and regulatory analysis and application.
• Demonstrated ability to draft and review legal documents related to compliance.
• Experience with regulatory agencies, particularly the SEC and FINRA.
• Excellent oral and written communication skills.
• Strong commitment to client service and ethical standards.
• Prior experience in a law firm or with regulatory agencies such as the SEC or FINRA is preferred.
• Member of the California Bar in good standing.

Education:

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

Certifications:

• Admission to the California State Bar.

Skills:

• In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Expertise in statutory and regulatory analysis.
• Strong legal writing and research skills.
• Proficient in understanding and advising on securities offerings.
• Knowledge of corporate governance principles.
• Excellent communication and interpersonal skills.
• Ability to handle complex regulatory issues and provide strategic legal advice.

Benefits:

• Competitive salary with performance-based bonuses.
• Health insurance with an optional HSA.
• Short-term and long-term disability insurance.
• Dental and vision care.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs).
• 401(k) retirement plan.
• Paid vacation and sick time.
• Employee assistance program.
• Additional voluntary programs: accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
• Commuter and transit programs.

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