BCG Attorney Search
This listing was posted on BCG Attorney Search.
Mid-Level - Senior Financial Services Compliance And Regulatory Associate
Location:
Los Angeles, CA
Description:
Practice Area: Finance - Financial Services Regulation,Corporate - Asset / Investment Management, Job Type: Attorney, Firm Type: Law Firm, Experience: 4 Years, Job Overview:A law firm in Los Angeles, CA, seeks a skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will have a robust compliance and regulatory background, with specific expertise in advising registered investment advisors and broker-dealers. This role requires a deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and involves interacting with regulatory bodies such as the SEC and FINRA.Duties:Counsel registered investment advisors and broker-dealers on regulatory and compliance-related issues.Provide legal analysis and advice concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Conduct statutory and regulatory analysis to ensure adherence to applicable laws and regulations.Draft and review compliance policies and procedures for clients.Represent clients with regulatory agencies, including the SEC and FINRA.Develop and deliver compliance training and guidance to clients.Prepare detailed legal memoranda, opinions, and reports.Stay current on changes in financial services laws and regulations.Collaborate with other attorneys and staff within the firm to support client needs and case strategies.Requirements:Minimum of 4 years of experience working on compliance and regulatory matters in the financial services sector.Proven experience advising registered investment advisors and broker-dealers.Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Experience working with regulatory bodies, including the SEC and FINRA.Strong legal writing skills and experience with securities offerings and corporate governance principles.Excellent communication skills, both oral and written.Demonstrated commitment to providing outstanding client service.Membership in the California Bar in good standing.Education:Juris Doctor (JD) degree from an accredited law school.Certifications:Must be a licensed attorney in California.Skills:Expertise in statutory and regulatory analysis and application.Proficient in legal writing and drafting.Strong understanding of securities offerings and corporate governance principles.Effective communication and interpersonal skills.Ability to work independently and as part of a team.High level of professionalism and dedication to client service.Location:Los Angeles, CABenefits:Competitive salary with performance-based bonus.Comprehensive health insurance, including optional 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 with firm match.Generous vacation and sick time.Employee Assistance Program (EAP).Additional voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.Commuter and Transit programs.
Education/experience:
2 To 5 Years
Company:
BCG Attorney Search
Posted:
July 23 on BCG Attorney Search
Visit Our Partner Website
This listing was posted on another website. Click here to open: Go to BCG Attorney Search
Important Safety Tips
- Always meet the employer in person.
- Avoid sharing sensitive personal and financial information.
- Avoid employment offers that require a deposit or investment.
To learn more, visit the Safety Center or click here to report this listing.
More About this Listing: Mid-Level - Senior Financial Services Compliance And Regulatory Associate
Mid-Level - Senior Financial Services Compliance And Regulatory Associate is a Legal Mid-Level - Senior Financial Job at BCG Attorney Search located in Los Angeles CA. Find other listings like Mid-Level - Senior Financial Services Compliance And Regulatory Associate by searching Oodle for Legal Mid-Level - Senior Financial Jobs.
Mid-Level - Senior Financial Services Compliance And Regulatory Associate is a Legal Mid-Level - Senior Financial Job at BCG Attorney Search located in Los Angeles CA. Find other listings like Mid-Level - Senior Financial Services Compliance And Regulatory Associate by searching Oodle for Legal Mid-Level - Senior Financial Jobs.