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

3-10 yrs required

Full-time

No

Job Overview: A law firm in Portland, OR, is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with at least 4 years of experience in compliance and regulatory matters. The ideal candidate will be crucial in advising registered investment advisors and broker-dealers on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. This position requires a strong background in statutory and regulatory analysis, legal writing, securities offerings, and corporate governance principles.

Duties:

• Provide comprehensive legal counsel on compliance and regulatory matters to registered investment advisors and broker-dealers.
• Conduct thorough statutory and regulatory analysis and apply findings to support clients in navigating complex financial regulations.
• Address issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Collaborate with clients to ensure adherence to securities offerings regulations.
• Offer expertise in corporate and governance principles to guide clients in sound business practices.

Requirements:

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

Education:

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

Certifications:

• An active member of the Oregon State Bar.

Skills:

• Strong statutory and regulatory analysis skills.
• Proficient in legal writing with the ability to convey complex information.
• Knowledge of securities offerings regulations.
• Familiarity with corporate and governance principles.
• Excellent oral and written communication skills.
• Commitment to exceptional client service.

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

• Bonus
• Health insurance with an optional Health Savings Account (HSA)
• Short-term disability
• Long-term disability
• Dental Insurance
• Vision care
• Life insurance
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs)
• 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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