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

Job Overview

A law firm in Chicago, IL, is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with extensive experience in compliance and regulatory matters. The ideal candidate will have a robust background in counseling registered investment advisors and broker-dealers on complex regulatory issues. This role demands high expertise in statutory and regulatory analysis, legal writing, and communication skills. The candidate must demonstrate a commitment to exceptional client service and thoroughly understand the regulatory landscape, including experience with the SEC and FINRA.

Duties and Responsibilities

• Provide legal counsel to registered investment advisors and broker-dealers on regulatory and compliance issues.
• Analyze and apply statutes and regulations, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Draft and review legal documents, including compliance policies and procedures.
• Represent clients in interactions with regulators, including the SEC and FINRA.
• Conduct regulatory compliance audits and assessments.
• Develop and deliver training on compliance and regulatory matters to clients.
• Stay updated on changes in laws and regulations affecting financial services.
• Handle client inquiries and provide strategic advice on complex regulatory matters.
• Assist in the preparation of securities offerings and corporate governance matters.
• Collaborate with internal teams to address and resolve compliance issues.

Requirements

• 4 years of experience in compliance and regulatory matters, focusing on financial services.
• Experience 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 such as the SEC and FINRA.
• Prior law firm experience or experience working with the SEC or FINRA is preferred.
• Member of the Illinois Bar in good standing.

Education

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

Certifications

• Licensed to practice law in Illinois (IL Bar).

Skills

• Statutory and regulatory analysis and application.
• Strong legal writing and analytical skills.
• Expertise in securities offerings and corporate governance principles.
• Outstanding oral and written communication skills.
• Demonstrated commitment to client service.
• Ability to manage multiple tasks and work under pressure.

Benefits

• Competitive salary and performance-based bonus.
• Health insurance with an optional HSA.
• Short-term and long-term disability insurance.
• Dental and vision insurance.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts.
• 401(k) plan.
• Paid vacation and sick time.
• Employee assistance program.
• Voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
• Commuter and Transit programs.