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Law Firm
Washington, DC, United States
Mid- to Senior-level Financial Services Compliance and Regulatory Associate
Attorney
Company Review
Min 4 yrs required
Full-time
No
Mid- to Senior-level Financial Services Compliance and Regulatory Associate The candidate must have 4+ years of experience working on compliance and regulatory matters. Should ideally have experience working with and counseling registered investment advisors and broker-dealers on regulatory and compliance-related issues, including issues concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Desired skill sets include: statutory and regulatory analysis and application, legal writing, securities offerings, and corporate and governance principles. Should ideally have experience with regulators including the SEC and FINRA. Prior law firm experience or work experience at the SEC or FINRA is preferred. Must be a member of a local Bar in good standing.
Bonus, Health Insurance (with optional HSA), Short and Long Term Disability, Dental and Vision Insurance, Life Insurance, Healthcare and Dependent Care Flexible Spending Accounts, 401(k), Vacation and Sick Time, Employee Assistance Program, Voluntary Programs (Accident Insurance, Life, Disability, Long-Term Care, and Pet Insurance), Commuter and Transit Programs
Legal Writing, Statutory and Regulatory Analysis, Securities Offerings, Corporate and Governance Principles, SEC and FINRA Knowledge, Outstanding Communication Skills, Commitment to Client Service
Law degree from an accredited law school
Apply online and upload a cover letter, resume, law school transcript, and a list of representations.
Legal
Apr 11, 2024
Jul 25, 2024
Additional info
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