Financial Services Compliance Regulatory Associate - Mid-level - Senior Associate

Locations: New York Chicago Los Angeles Seattle Washington DC San Franciso

Our client a leading fullservice law firm is renowned for its expertise in financial services media and entertainment technology and intellectual property fintech healthcare food and beverage energy environment and natural resources artificial intelligence and cannabis. They offer comprehensive legal services to clients ranging from startups to Fortune 500 companies fostering a collaborative and innovative environment committed to diversity equity and inclusion. With offices across key financial centers in the U.S. they are wellpositioned to provide toptier legal counsel with a local touch.

The Financial Services Practice Group has an exciting opportunity for an associate attorney with a minimum of four years experience working on compliance and regulatory matters to join their marketleading team.

Tasks

Role and Responsibilities:

• Counsel registered investment advisors and brokerdealers on regulatory and compliancerelated issues including issues concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and application.
• Engage in legal writing securities offerings and corporate and governance principles.
• Interface with regulators including the SEC and FINRA.
• Demonstrate outstanding communication skills both oral and written.
• Commit to delivering exceptional client service.

Requirements

Qualifications:

• Minimum of four years experience in compliance and regulatory matters.
• Experience with SEC and FINRA regulations.
• Strong legal writing and analytical skills.
• Law firm experience or work experience at the SEC or FINRA is preferred but not required.
• Must be a member of a local bar in good standing.