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Job Details

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

Company name
BCG Attorney Search

Experience
3-10 yrs required

Location
Portland, OR, United States

Industry
Legal

Posted on
Feb 04, 2024

Profile

Job Overview: A law firm in Portland, OR, 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 advising registered investment advisors and broker-dealers on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. This position requires a strong background in statutory and regulatory analysis, legal writing, securities offerings, and corporate governance principles.

Duties:

  • Provide comprehensive legal counsel on compliance and regulatory matters to registered investment advisors and broker-dealers.
  • Conduct thorough statutory and regulatory analysis and apply findings to support clients in navigating complex financial regulations.
  • Address issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Collaborate with clients to ensure adherence to securities offerings regulations.
  • Offer expertise in corporate and governance principles to guide clients in sound business practices.

Requirements:

  • Minimum of 4 years of experience in compliance and regulatory matters.
  • Experience working with the SEC and FINRA in a regulatory capacity.
  • Prior law firm experience or work experience at the SEC or FINRA is preferred.
  • Membership in the Oregon Bar in good standing.

Education:

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

Certifications:

  • An active member of the Oregon State Bar.

Skills:

  • Strong statutory and regulatory analysis skills.
  • Proficient in legal writing with the ability to convey complex information.
  • Knowledge of securities offerings regulations.
  • Familiarity with corporate and governance principles.
  • Excellent oral and written communication skills.
  • Commitment to exceptional client service.

Benefits: The law 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 (FSAs)
  • 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
1750 Montgomery St Fl 1
San Francisco
California
United States 94111
Phone : (415) 464 6897
Fax : (213) 895-7306

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