3-10 yrs required

Full-time

No

Job Overview:

A law firm is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney to join their team in New York City. The ideal candidate will bring experience in compliance and regulatory matters, specifically with registered investment advisors and broker-dealers. Exceptional communication skills and a dedication to client service are essential for success in this role.

Job Details:

Duties:

• Work on compliance and regulatory matters, counseling registered investment advisors and broker-dealers.
• Address issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and application.
• Draft legal documents, including securities offerings.
• Apply knowledge of corporate and governance principles to client cases.
• Collaborate with regulators, particularly the SEC and FINRA.

Requirements:

• Minimum of 4 years of experience in compliance and regulatory matters.
• Prior experience working with registered investment advisors and broker-dealers.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Membership in a NY Bar in good standing.

Education:

• Law degree from an accredited law school.

Certifications:

• Admission to the New York State Bar.

Skills:

• Strong statutory and regulatory analysis skills.
• Proficient in legal writing.
• Experience with securities offerings.
• In-depth understanding of corporate and governance principles.
• Excellent oral and written communication skills.
• Familiarity with SEC and FINRA regulations.

Job Location:

New York City, NY

Benefits offered:

• Bonus
• Health insurance with 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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