BCG Attorney Search
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Mid-to Senior-level Financial Services Compliance And Regulatory Associate
Location:
Glen Allen, VA
Description:
Practice Area: Finance - General,Finance - Financial Services Regulation,Corporate - General,Corporate - Asset / Investment Management, Job Type: Attorney, Firm Type: Law Firm, Experience: 4 Years, Job Overview: A law firm in Glen Allen, VA, is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with at least 4 years of relevant experience. The ideal candidate will be crucial in advising registered investment advisors and broker-dealers on regulatory and compliance matters, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Duties:Provide legal counsel on regulatory and compliance issues, specializing in matters related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Conduct statutory and regulatory analyses and apply findings to specific cases.Draft legal documents, including securities offerings, and ensure adherence to corporate and governance principles.Work closely with regulators, particularly the SEC and FINRA, maintaining a deep understanding of their requirements and expectations.Demonstrate an unrelenting commitment to client service through effective and clear communication, both orally and in writing.Requirements:Minimum of 4 years of experience working on compliance and regulatory matters.Membership in a VA Bar in good standing.Preferred Qualifications:Prior law firm experience or employment history at the SEC or FINRA.Education:Juris Doctor (JD) degree from an accredited law school.Certifications:Active membership in the Virginia State Bar.Skills:Strong statutory and regulatory analysis capabilities.Excellent legal writing skills.Experience with securities offerings.Solid understanding of corporate and governance principles.Familiarity with regulatory bodies such as the SEC and FINRA.Job Location: Glen Allen, VABenefits: The firm offers a comprehensive benefits package, including:BonusHealth insurance with optional Health Savings Account (HSA)Short-term disabilityLong-term disabilityDental InsuranceVision careLife insuranceHealthcare and Dependent Care Flexible Spending Accounts401(k)Vacation and sick timeEmployee assistance programAdditional Voluntary Programs:Voluntary accident insuranceVoluntary life insuranceVoluntary disability insuranceVoluntary long-term care insurancePet insurance
Education/experience:
2 To 5 Years
Company:
BCG Attorney Search
Posted:
April 15 on BCG Attorney Search
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More About this Listing: Mid-to Senior-level Financial Services Compliance And Regulatory Associate
Mid-to Senior-level Financial Services Compliance And Regulatory Associate is a Legal Mid-To Senior-Level Financial Job at BCG Attorney Search located in Glen Allen VA. Find other listings like Mid-to Senior-level Financial Services Compliance And Regulatory Associate by searching Oodle for Legal Mid-To Senior-Level Financial Jobs.
Mid-to Senior-level Financial Services Compliance And Regulatory Associate is a Legal Mid-To Senior-Level Financial Job at BCG Attorney Search located in Glen Allen VA. Find other listings like Mid-to Senior-level Financial Services Compliance And Regulatory Associate by searching Oodle for Legal Mid-To Senior-Level Financial Jobs.