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

Job Overview: A law firm in Los Angeles, CA, is seeking a qualified Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with a minimum of 4 years of experience in compliance and regulatory matters. The ideal candidate will be crucial in advising and counseling registered investment advisors and broker-dealers on various regulatory and compliance issues, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Job Details:

• Experience Requirement:

  • Minimum of 4 years of experience working on compliance and regulatory matters.

• Responsibilities:

  • Provide legal counsel on regulatory and compliance-related issues, particularly about the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Conduct statutory and regulatory analysis and apply legal expertise to ensure compliance.
  • Handle legal writing tasks, securities offerings, and corporate governance principles.
  • Interact with and navigate regulatory processes with entities such as the SEC and FINRA.
  • Demonstrate an unrelenting commitment to client service with outstanding oral and written communication skills.

• Preferred Qualifications:

  • Prior experience in a law firm or work experience at the SEC or FINRA.
  • Membership in the CA Bar in good standing.

• Location:

  • Los Angeles, CA.

Benefits: The law firm offers a comprehensive benefits package, including but not limited to:

• Bonus
• Health insurance with an optional 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:

• 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.