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

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Job Overview

A law firm in Bellevue, WA, is seeking a Mid-to Senior-level Financial Services Compliance and Regulatory Associate Attorney with a minimum of 4 years of experience. The ideal candidate should possess expertise in compliance and regulatory matters, particularly advising registered investment advisors and broker-dealers on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Exceptional communication skills and a commitment to client service are crucial for success in this role.

Duties

• Provide counsel on regulatory and compliance issues, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and apply findings to ensure compliance.
• Draft and review legal documents, including securities offerings, and ensure adherence to corporate and governance principles.
• Collaborate with regulators, particularly the SEC and FINRA, on behalf of clients.
• Demonstrate an unwavering commitment to client service.

Requirements

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Prior experience with regulators, including the SEC and FINRA.
• Membership in the WA Bar in good standing.

Education

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

Certifications

• Admission to the Washington State Bar.

Skills

• Strong statutory and regulatory analysis and application skills.
• Proficient in legal writing.
• Experience with securities offerings.
• Knowledge of corporate and governance principles.
• Outstanding oral and written communication skills.

Benefits

The 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
• 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.

Company info

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