BCG Attorney Search
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Mid-to Senior-level Financial Services Compliance And Regulatory Associate
Location:
Seattle, WA
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 Seattle, WA, is seeking a Mid-to-Senior Associate-level Financial Services Compliance and Regulatory Associate Attorney with a minimum of 4 years of experience handling compliance and regulatory matters. The ideal candidate will be key in advising registered investment advisors and broker-dealers on various regulatory and compliance issues, particularly related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Duties:Provide counsel on regulatory and compliance-related matters to registered investment advisors and broker-dealers.Conduct statutory and regulatory analysis and apply findings to ensure adherence to legal requirements.Handle legal writing tasks, including drafting and reviewing documents related to securities offerings.Apply knowledge of corporate and governance principles to support clients in navigating legal complexities.Requirements:Minimum of 4 years of experience in compliance and regulatory matters.Experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Familiarity with regulators such as the SEC and FINRA.Outstanding oral and written communication skills.Previous law firm experience or work experience at the SEC or FINRA is preferred.Active membership in the WA Bar is in good standing.Education:Juris Doctor (JD) degree from an accredited law school.Certifications:Membership in the WA Bar in good standing.Skills:Statutory and regulatory analysis and application.Legal writing proficiency.Knowledge of securities offerings.Understanding of corporate and governance principles.Job Location: Seattle, WABenefits: The firm offers a comprehensive benefits package, including:BonusHealth insurance with an 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 include:Voluntary accident insuranceVoluntary life insuranceVoluntary disability insuranceVoluntary long-term care insurancePet insurance This Amlaw firm stands out among its peers as having a commitment to innovation, work-life balance, and friendly firm culture. The firm aims to be agile in the changing legal landscape, and rewards the creativity and entrepreneurial spirit of its lawyers. The firm is also serious about its commitment to diversity and pro bono initiatives, and provides ample opportunity for its associates to gain meaningful experience early on in their careers.
Education/experience:
2 To 5 Years
Company:
BCG Attorney Search
Posted:
April 9 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 Seattle WA. 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 Seattle WA. 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.