Mid-Level - Senior Financial Services Compliance And Regulatory Associate Attorney

Job Overview:

A law firm is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with a strong background in compliance and regulatory matters, specifically about registered investment advisors and broker-dealers. The ideal candidate will have substantial experience in dealing with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and a proven track record of working with regulatory bodies such as the SEC and FINRA. This role requires outstanding communication skills and a strong commitment to client service. The position is based in Anchorage, AK.

Duties:

• Advise registered investment advisors and broker-dealers on regulatory and compliance issues.
• Interpret and apply statutory and regulatory provisions, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct legal research and draft memoranda, opinions, and regulatory filings.
• Assist clients with securities offerings and corporate governance matters.
• Represent clients in interactions with regulators, including the SEC and FINRA.
• Provide comprehensive compliance support and develop compliance programs for clients.
• Stay updated on relevant laws and regulations changes and advise clients accordingly.
• Collaborate with other attorneys within the firm on complex compliance and regulatory projects.

Requirements:

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Proven experience working with and counseling registered investment advisors and broker-dealers.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience with regulators such as the SEC and FINRA.
• Outstanding communication skills, both oral and written.
• Strong commitment to client service.
• Membership in the Alaska Bar in good standing.

Education:

• Juris Doctor (JD) degree from an accredited law school.

Certifications:

• Must be a member of the Alaska Bar in good standing.

Skills:

• Statutory and regulatory analysis and application.
• Legal research and writing.
• Knowledge of securities offerings and corporate governance principles.
• Excellent interpersonal and client relationship skills.
• Ability to manage multiple projects and meet deadlines.
• Strong problem-solving and analytical skills.

Benefits:

• Bonus program.
• Health insurance with optional Health Savings Account (HSA).
• Short-term and long-term disability insurance.
• Dental and vision care insurance.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs).
• 401(k) retirement plan.
• Vacation and sick time.
• Employee Assistance Program (EAP).
• Additional voluntary programs: accident insurance, voluntary life, voluntary disability, voluntary long-term care, and pet insurance.
• Commuter and transit programs.

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.