Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney

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, WA

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

• Bonus
• Health insurance with an optional Health Savings Account (HSA)
• Short-term disability
• Long-term disability
• Dental Insurance
• Vision care
• Life insurance
• Healthcare and Dependent Care Flexible Spending Accounts
• 401(k)
• Vacation and sick time
• Employee assistance program

Additional voluntary programs include:

• Voluntary accident insurance
• Voluntary life insurance
• Voluntary disability insurance
• Voluntary long-term care insurance
• Pet 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.