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

3-10 yrs required

Full-time

No

Job Overview: A law firm in San Francisco, CA, 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 providing legal counsel to registered investment advisors and broker-dealers, focusing on regulatory and compliance-related issues, including those related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Provide legal guidance and counsel on regulatory and compliance matters.
• Work closely with registered investment advisors and broker-dealers.
• Conduct statutory and regulatory analyses and apply findings to the firm's operations.
• Draft legal documents, including securities offerings, and ensure compliance with relevant laws.
• Assist in corporate and governance matters related to financial services compliance.

Requirements:

• Minimum 4 years of experience in compliance and regulatory matters.
• Experience working with registered investment advisors and broker-dealers.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Prior experience with regulators such as the SEC and FINRA.
• Outstanding communication skills, both oral and written.
• Unrelenting commitment to client service.
• Membership in the CA Bar in good standing.

Education:

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

Certifications:

• Active membership in the CA Bar.

Skills:

• Strong statutory and regulatory analysis and application skills.
• Proficient in legal writing and drafting.
• Knowledge of securities offerings.
• Understanding of corporate and governance principles.

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

• 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 and sick time
• Employee assistance program

Additional Voluntary Programs:

• Voluntary accident insurance
• Voluntary life insurance
• Voluntary disability insurance
• Voluntary long-term care insurance
• Pet insurance.

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