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

Job Overview:

A law firm in San Francisco, CA, is seeking a highly skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role provides expert legal counsel on regulatory and compliance matters related to registered investment advisors and broker-dealers. The ideal candidate will have a deep understanding of financial regulations, a strong background in working with regulatory bodies such as the SEC and FINRA, and a commitment to exceptional client service.

Duties:

• Advise and represent registered investment advisors and broker-dealers on compliance and regulatory issues.
• Conduct statutory and regulatory analysis and application, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Develop and implement compliance programs and policies in alignment with regulatory requirements.
• Draft, review, and negotiate legal documents, including contracts, compliance manuals, and regulatory filings.
• Counsel clients on securities offerings and corporate governance principles.
• Interact with and respond to inquiries from regulatory agencies, including the SEC and FINRA.
• Prepare and deliver oral and written communications to clients and regulatory bodies.
• Conduct legal research and stay updated on industry trends and regulatory changes.
• Assist in handling investigations and enforcement actions involving regulatory agencies.
• Collaborate with internal teams and contribute to the firm's business development efforts.

Requirements:

• 4 years of experience in compliance and regulatory matters related to financial services.
• Proven experience in counseling registered investment advisors and broker-dealers.
• In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience working with the SEC and FINRA is highly desirable.
• Membership in the California Bar in good standing is required.

Education:

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

Certifications:

• Active member of the California State Bar.

Skills:

• Strong expertise in statutory and regulatory analysis and application.
• Excellent legal writing and research skills.
• Proficiency in securities offerings and corporate governance principles.
• Outstanding oral and written communication abilities.
• High commitment to client service and professionalism.
• Ability to work effectively under pressure and manage multiple tasks.
• Prior experience in a law firm or with regulatory bodies such as the SEC or FINRA is preferred.

Location:

• San Francisco, CA

Benefits:

• Competitive salary with performance-based bonuses.
• Comprehensive health insurance with optional HSA.
• Short-term and long-term disability insurance.
• Dental and vision care.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts.
• 401(k) plan with firm contributions.
• Generous vacation and sick leave.
• Employee assistance program.
• Additional voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, 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.