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

Profile

Job Overview: A law firm in Seattle, WA, is seeking a Mid-to-Senior Associate-level Financial Services Compliance and Regulatory Associate Attorney with a minimum of 4 years of experience handling compliance and regulatory matters. The ideal candidate will be key in advising registered investment advisors and broker-dealers on various regulatory and compliance issues, particularly related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Provide counsel on regulatory and compliance-related matters to registered investment advisors and broker-dealers.
• Conduct statutory and regulatory analysis and apply findings to ensure adherence to legal requirements.
• Handle legal writing tasks, including drafting and reviewing documents related to securities offerings.
• Apply knowledge of corporate and governance principles to support clients in navigating legal complexities.

Requirements:

• Minimum of 4 years of experience in compliance and regulatory matters.
• Experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with regulators such as the SEC and FINRA.
• Outstanding oral and written communication skills.
• Previous law firm experience or work experience at the SEC or FINRA is preferred.
• Active membership in the WA Bar is in good standing.

Education:

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

Certifications:

• Membership in the WA Bar in good standing.

Skills:

• Statutory and regulatory analysis and application.
• Legal writing proficiency.
• Knowledge of securities offerings.
• Understanding of corporate and governance principles.

Job Location: Seattle, WA

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

BCG Attorney Search