Securities Law Fintech and Financial Services Associate Attorney

A law firm in Washington, DC, is seeking a Securities Law Fintech and Financial Services Associate Attorney to join their team. This role involves providing strategic counsel on securities law matters, particularly focusing on launching new investment products and platforms, and advising on regulations applicable to fintech companies, investment advisers, broker-dealers, and other securities intermediaries.

Job Duties:

• Provide strategic securities law counseling for launching new investment products and platforms.
• Advise on laws and regulations applicable to issuers and intermediaries in securities transactions.
• Possess knowledge of investment adviser, broker-dealer, and other securities and commodities regulations, with a focus on fintech companies.
• Handle investment company status issues and related regulatory matters.
• Conduct legal research and provide analysis related to SEC and CFTC regulations and enforcement actions.
• Draft legal memoranda, opinions, and client advisories on complex securities law issues.
• Communicate effectively with clients, conveying complex legal concepts in a clear and concise manner.
• Collaborate with internal teams and external stakeholders to achieve client objectives and ensure regulatory compliance.
• Maintain up-to-date knowledge of regulatory developments and industry trends in securities law.

Requirements:

• Juris Doctor (JD) degree from an accredited law school.
• Admission to the District of Columbia Bar or eligibility for admission through reciprocity.
• 1-3 years of experience in securities law, particularly with investment products and securities intermediaries.
• Strong understanding of SEC and CFTC regulations and enforcement practices.
• Excellent oral and written communication skills, with the ability to articulate complex legal issues.
• Meticulous attention to detail and strong research and analytical skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• Demonstrated commitment to client service and delivering high-quality legal advice.

Preferred Certifications:

• Certification or coursework in securities law, investment adviser regulation, or broker-dealer compliance is advantageous.

Benefits: The firm offers a comprehensive benefits package, including:

• Monthly wellness reimbursements
• 24/7 emotional and behavioral health support and virtual counseling
• Healthcare coverage for employees, spouses/domestic partners, and children up to age 26
• Family-building benefits including IVF, adoption, surrogacy, and egg-freezing
• Paid parental leave and parenting support
• Career coaching and resources for working parents
• Health Savings Accounts (HSA) with firm contributions
• Flexible spending accounts (FSA)
• 401(k) retirement plan
• Pretax commuter and parking benefits
• Basic and supplemental life insurance
• Short and long-term disability coverage
• Voluntary insurance options including long term care, critical illness, hospitalization, accident, ID theft protection, and pet insurance
• Medicare consulting services
• Firm-paid Continuing Legal Education (CLE), bar review fees, and bar dues

This Vault Law 100 and one of the Best Law Firm in the Emerging Companies & Venture Capital firm boasts cutting-edge clients, pleasant people, and a flexible work/life balance. The firm is a global player with very deep tech roots and has been ranked among the top 10 M&A advisors in the nation. As the premier provider of legal services to technology, life sciences, and growth enterprises worldwide, the firm is appealing to associates for fostering an entrepreneurial and collaborative environment across its attorney ranks, emphasizing the importance of mentorship, career growth, and building leadership and relationship skills with clients and colleagues. Compensation at this firm is competitive with peer firms in the region.