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

Job Overview: A law firm in Los Angeles, CA, is seeking a Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role requires a seasoned professional with substantial experience in compliance and regulatory matters within the financial services sector. The ideal candidate will have a strong background in advising registered investment advisors and broker-dealers on regulatory issues, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Advise and counsel registered investment advisors and broker-dealers on compliance and regulatory issues.
• Analyze and apply statutory and regulatory requirements related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis to ensure adherence to compliance standards.
• Draft and review legal documents, including regulatory filings and compliance reports.
• Represent clients in interactions with regulatory bodies such as the SEC and FINRA.
• Develop and implement compliance programs and policies for clients.
• Provide legal advice on securities offerings, corporate governance, and related matters.
• Assist in the preparation and submission of regulatory filings and reports.
• Stay updated on changes in laws and regulations affecting the financial services industry.
• Provide exceptional client service with an emphasis on effective communication and problem-solving.

Requirements:

• Minimum of 4 years of experience in compliance and regulatory matters related to financial services.
• Experience working with registered investment advisors and broker-dealers.
• Proficiency in statutory and regulatory analysis and application.
• Demonstrated ability to draft and review legal documents related to compliance.
• Experience with regulatory agencies, particularly the SEC and FINRA.
• Excellent oral and written communication skills.
• Strong commitment to client service and ethical standards.
• Prior experience in a law firm or with regulatory agencies such as the SEC or FINRA is preferred.
• Member of the California Bar in good standing.

Education:

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

Certifications:

• Admission to the California State Bar.

Skills:

• In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Expertise in statutory and regulatory analysis.
• Strong legal writing and research skills.
• Proficient in understanding and advising on securities offerings.
• Knowledge of corporate governance principles.
• Excellent communication and interpersonal skills.
• Ability to handle complex regulatory issues and provide strategic legal advice.

Benefits:

• Competitive salary with performance-based bonuses.
• Health insurance with an optional HSA.
• Short-term and long-term disability insurance.
• Dental and vision care.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs).
• 401(k) retirement plan.
• Paid vacation and sick time.
• Employee assistance program.
• Additional voluntary programs: 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.