Recruiter

San Francisco, 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 San Francisco, CA, is seeking a highly skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role provides expert legal counsel on regulatory and compliance matters related to registered investment advisors and broker-dealers. The ideal candidate will have a deep understanding of financial regulations, a strong background in working with regulatory bodies such as the SEC and FINRA, and a commitment to exceptional client service.

Duties:

• Advise and represent registered investment advisors and broker-dealers on compliance and regulatory issues.
• Conduct statutory and regulatory analysis and application, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Develop and implement compliance programs and policies in alignment with regulatory requirements.
• Draft, review, and negotiate legal documents, including contracts, compliance manuals, and regulatory filings.
• Counsel clients on securities offerings and corporate governance principles.
• Interact with and respond to inquiries from regulatory agencies, including the SEC and FINRA.
• Prepare and deliver oral and written communications to clients and regulatory bodies.
• Conduct legal research and stay updated on industry trends and regulatory changes.
• Assist in handling investigations and enforcement actions involving regulatory agencies.
• Collaborate with internal teams and contribute to the firm's business development efforts.

Requirements:

• 4 years of experience in compliance and regulatory matters related to financial services.
• Proven experience in counseling registered investment advisors and broker-dealers.
• In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience working with the SEC and FINRA is highly desirable.
• Membership in the California Bar in good standing is required.

Education:

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

Certifications:

• Active member of the California State Bar.

Skills:

• Strong expertise in statutory and regulatory analysis and application.
• Excellent legal writing and research skills.
• Proficiency in securities offerings and corporate governance principles.
• Outstanding oral and written communication abilities.
• High commitment to client service and professionalism.
• Ability to work effectively under pressure and manage multiple tasks.
• Prior experience in a law firm or with regulatory bodies such as the SEC or FINRA is preferred.

Location:

• San Francisco, CA

Benefits:

• Competitive salary with performance-based bonuses.
• Comprehensive health insurance with optional HSA.
• Short-term and long-term disability insurance.
• Dental and vision care.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts.
• 401(k) plan with firm contributions.
• Generous vacation and sick leave.
• Employee assistance program.
• Additional voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
• Commuter and transit programs.

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