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

Full-time 18 views

Recruiter

San Francisco, CA, United States

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

Attorney

BCG Attorney Search
Company Review

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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Aug 09, 2024
Jul 10, 2024

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