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

Job Overview:

A law firm in Bellevue, WA, is seeking a highly skilled and experienced Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will possess substantial experience in compliance and regulatory matters, specifically relating to investment advisors and broker-dealers. This role involves providing expert legal counsel on complex regulatory issues and ensuring adherence to relevant statutes and regulations. The successful candidate will demonstrate exceptional communication skills and commitment to client service.

Duties:

• Provide legal advice and guidance to registered investment advisors and broker-dealers on compliance and regulatory issues.
• Interpret and apply the Investment Advisers Act of 1940 and the Investment Company Act of 1940 to client situations.
• Draft and review compliance policies and procedures to ensure federal and state regulations adherence.
• Conduct regulatory investigations and examinations and prepare responses to inquiries from the SEC and FINRA.
• Represent clients in regulatory matters and proceedings before the SEC and FINRA.
• Assist in the preparation and review of securities offerings and related documentation.
• Engage in statutory and regulatory analysis and application.
• Develop and deliver training sessions on compliance and regulatory issues to clients and internal teams.
• Stay updated on changes in laws and regulations affecting financial services.

Requirements:

• Minimum of 4 years of experience working on compliance and regulatory matters in the financial services sector.
• Experience working with and counseling registered investment advisors and broker-dealers.
• Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with regulatory bodies, including the SEC and FINRA.
• Proven record in statutory and regulatory analysis, legal writing, and securities offerings.
• Outstanding oral and written communication skills.
• Demonstrated commitment to client service and professionalism.
• Must be a member of the Washington State Bar in good standing.

Education:

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

Certifications:

• Admission to the Washington State Bar.

Skills:

• Expertise in financial services compliance and regulatory matters.
• Proficiency in statutory and regulatory analysis and application.
• Strong legal writing and drafting skills.
• Knowledge of securities offerings and corporate governance principles.
• Excellent oral and written communication abilities.
• Ability to effectively represent clients in interactions with regulatory bodies.
• Exceptional client service skills and a commitment to maintaining high professional standards.

Benefits Offered:

• 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) retirement plan with firm contributions.
• Paid vacation and sick time.
• Employee Assistance Program.
• Voluntary benefits include accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
• Commuter and transit programs.

Location:

• Bellevue, WA

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.