Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney Apply
Job Overview: A law firm in Los Angeles, CA, is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with a minimum of 4 years of experience in handling compliance and regulatory matters. The ideal candidate will play a crucial role in advising registered investment advisors and broker-dealers on various regulatory and compliance issues, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Duties: Provide comprehensive legal counsel on regulatory and compliance matters, focusing on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Conduct statutory and regulatory analysis and apply legal expertise to ensure compliance with relevant laws. Offer guidance on securities offerings, corporate governance principles, and other related financial services matters. Collaborate with clients, demonstrating outstanding communication skills, both oral and written, and maintaining an unwavering commitment to client service. Utilize experience in working with regulators, particularly the SEC and FINRA, to address and resolve regulatory challenges effectively. Requirements: Minimum of 4 years of experience in financial services compliance and regulatory matters. Membership in the CA Bar in good standing is mandatory. Prior law firm experience or work experience at the SEC or FINRA is preferred. Education: Juris Doctor (JD) degree from an accredited law school. Certifications: Admission to the California Bar. Skills: Strong statutory and regulatory analysis and application skills. Proficient in legal writing with a keen understanding of securities offerings. Familiarity with corporate and governance principles. Experience in dealing with regulators, including the SEC and FINRA. Outstanding communication skills, both oral and written. Benefits: The firm offers a comprehensive benefits package, including: Bonus Health insurance with an optional Health Savings Account (HSA) Short-term disability and long-term disability coverage Dental insurance and vision care Life insurance Healthcare and Dependent Care Flexible Spending Accounts 401(k) retirement plan Vacation and sick time Employee assistance program Additional Voluntary Programs: Voluntary accident insurance Voluntary life insurance Voluntary disability insurance Voluntary long-term care insurance Pet insurance. #J-18808-Ljbffr
