BCG Attorney Search
This listing was posted on BCG Attorney Search.
Mid-Level - Senior Financial Services Compliance And Regulatory Associate
Location:
Chicago, IL
Description:
Practice Area: Finance - Financial Services Regulation,Corporate - Asset / Investment Management, Job Type: Attorney, Firm Type: Law Firm, Experience: 4 Years, Job OverviewA law firm in Chicago, IL, is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with extensive experience in compliance and regulatory matters. The ideal candidate will have a robust background in counseling registered investment advisors and broker-dealers on complex regulatory issues. This role demands high expertise in statutory and regulatory analysis, legal writing, and communication skills. The candidate must demonstrate a commitment to exceptional client service and thoroughly understand the regulatory landscape, including experience with the SEC and FINRA.Duties and ResponsibilitiesProvide legal counsel to registered investment advisors and broker-dealers on regulatory and compliance issues.Analyze and apply statutes and regulations, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Draft and review legal documents, including compliance policies and procedures.Represent clients in interactions with regulators, including the SEC and FINRA.Conduct regulatory compliance audits and assessments.Develop and deliver training on compliance and regulatory matters to clients.Stay updated on changes in laws and regulations affecting financial services.Handle client inquiries and provide strategic advice on complex regulatory matters.Assist in the preparation of securities offerings and corporate governance matters.Collaborate with internal teams to address and resolve compliance issues.Requirements4 years of experience in compliance and regulatory matters, focusing on financial services.Experience counseling registered investment advisors and broker-dealers.Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Familiarity with regulatory bodies such as the SEC and FINRA.Prior law firm experience or experience working with the SEC or FINRA is preferred.Member of the Illinois Bar in good standing.EducationJuris Doctor (JD) from an accredited law school.CertificationsLicensed to practice law in Illinois (IL Bar).SkillsStatutory and regulatory analysis and application.Strong legal writing and analytical skills.Expertise in securities offerings and corporate governance principles.Outstanding oral and written communication skills.Demonstrated commitment to client service.Ability to manage multiple tasks and work under pressure.BenefitsCompetitive salary and performance-based bonus.Health insurance with an optional HSA.Short-term and long-term disability insurance.Dental and vision insurance.Life insurance.Healthcare and Dependent Care Flexible Spending Accounts.401(k) plan.Paid vacation and sick time.Employee assistance program.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 Chicago IL. 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 Chicago IL. Find other listings like Mid-Level - Senior Financial Services Compliance And Regulatory Associate by searching Oodle for Legal Mid-Level - Senior Financial Jobs.