Mid-Level - Senior Financial Services Compliance And Regulatory Associate Attorney

Profile

Job Overview: A law firm is seeking a highly qualified Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with substantial experience in compliance and regulatory matters, specifically within the financial services sector. This role is based in Portland, OR, and requires a dynamic individual with a robust understanding of financial regulations, exceptional legal writing skills, and a strong commitment to client service.

Job Responsibilities:

• Provide counsel to registered investment advisors and broker-dealers on regulatory and compliance-related issues.
• Advise on matters concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and application.
• Prepare and review legal documents, including those related to securities offerings.
• Offer guidance on corporate and governance principles.
• Represent clients in interactions with regulatory bodies, including the SEC and FINRA.
• Maintain up-to-date knowledge of regulatory developments affecting the financial services industry.
• Collaborate with clients to develop and implement compliance programs.
• Draft and review policies, procedures, and internal controls for clients.
• Ensure ongoing compliance with applicable laws and regulations.
• Provide training to clients on regulatory compliance matters.

Requirements:

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Proven experience counseling registered investment advisors and broker-dealers.
• In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Demonstrated ability to perform statutory and regulatory analysis.
• Strong legal writing skills and experience with securities offerings.
• Familiarity with corporate and governance principles.
• Experience with the SEC and FINRA.
• Outstanding oral and written communication skills.
• Unwavering commitment to client service.
• Prior law firm experience or work experience at the SEC or FINRA is preferred.
• Membership in good standing with the Oregon Bar (OR Bar).

Education and Certifications:

• Juris Doctor (JD) degree from an accredited law school.
• Active membership in the Oregon Bar (OR Bar) in good standing.

Skills:

• Exceptional legal writing and research skills.
• Strong analytical and problem-solving abilities.
• Excellent communication and interpersonal skills.
• Ability to manage multiple projects and deadlines.
• Detail-oriented and highly organized.
• Proficiency in legal research tools and software.
• Ability to work independently and as part of a team.

Benefits Offered:

• Competitive salary with bonus opportunities.
• Health insurance with an optional Health Savings Account (HSA).
• Short-term and long-term disability insurance.
• Dental and vision insurance.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs).
• 401(k) retirement plan.
• Paid vacation and sick time.
• Employee assistance program.
• Additional voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
• Commuter and transit programs.

Company info

BCG Attorney Search
1750 Montgomery St Fl 1
San Francisco
California
United States 94111
Phone : (415) 464 6897
Fax : (213) 895-7306