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

Job Overview: A law firm in Washington, DC, is seeking a Mid-to-Senior Associate-level Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will possess a minimum of 4 years of experience in compliance and regulatory matters, particularly in advising registered investment advisors and broker-dealers on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Provide legal counsel on regulatory and compliance matters, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and apply findings to client situations.
• Draft and review legal documents, including securities offerings.
• Collaborate with internal and external stakeholders to ensure compliance with corporate and governance principles.
• Communicate effectively with clients, regulators, and internal teams.
• Stay informed about changes in financial services regulations and advise clients accordingly.

Requirements:

• Minimum of 4 years of experience in compliance and regulatory matters.
• Experience advising registered investment advisors and broker-dealers.
• Familiarity with the SEC and FINRA regulatory environment.
• Outstanding communication skills, both oral and written.
• Membership in the District of Columbia Bar in good standing.
• Prior experience in a law firm or at the SEC/FINRA is preferred.

Education:

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

Certifications:

• Member of the District of Columbia Bar in good standing.

Skills:

• Strong understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Statutory and regulatory analysis and application.
• Legal writing proficiency.
• Knowledge of securities offerings.
• Familiarity with corporate and governance principles.

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

• Bonus
• Health insurance with optional Health Savings Account (HSA)
• Short-term and long-term disability coverage
• Dental insurance and vision care
• Life insurance
• Healthcare and Dependent Care Flexible Spending Accounts
• 401(k) retirement plan
• Vacation and sick time
• Employee assistance program

Additionally, voluntary programs are available, such as:

• 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.