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

Job Overview

A law firm in Washington, DC, is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney to join its team. The ideal candidate will have substantial experience in compliance and regulatory matters, specifically with registered investment advisors and broker-dealers. This role requires a deep understanding of relevant regulations, exceptional legal writing skills, and outstanding client service capabilities.

Key Duties and Responsibilities

• Provide legal counsel on regulatory and compliance matters related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Advise and represent registered investment advisors and broker-dealers in compliance-related issues.
• Conduct statutory and regulatory analysis and apply findings to client situations.
• Draft and review legal documents, including compliance manuals, regulatory filings, and client correspondence.
• Interact with regulatory bodies such as the SEC and FINRA on behalf of clients.
• Develop and implement compliance programs and policies for clients.
• Conduct legal research and stay updated on changes in financial services regulations.
• Maintain a high level of client service and communication, effectively addressing client needs and concerns.

Required Qualifications

• A minimum of 4 years of experience working on compliance and regulatory matters in financial services.
• Proven experience counseling registered investment advisors and broker-dealers on regulatory issues.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience with regulators, including the SEC and FINRA.
• Strong statutory and regulatory analysis skills.
• Excellent legal writing and communication skills, both oral and written.
• Prior experience in a law firm or with the SEC or FINRA is preferred.
• Membership in the DC Bar in good standing.

Education and Certifications

• Juris Doctor (JD) degree from an accredited law school.
• Active membership in the DC Bar.

Skills

• In-depth knowledge of financial services regulations and compliance requirements.
• Strong analytical and problem-solving skills.
• Exceptional written and verbal communication abilities.
• Ability to handle complex regulatory issues with precision and clarity.
• Commitment to providing high-quality client service.
• Proficiency in legal research and regulatory reporting.

Benefits Offered

• Competitive salary and performance-based bonuses.
• Comprehensive health insurance with 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 with firm matching contributions.
• Generous vacation and sick leave policies.
• Employee assistance program.
• Voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
• Commuter and transit programs.

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.