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

Job Overview:

A law firm in New York City is seeking a highly skilled Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney to join their team. The ideal candidate will have substantial experience in compliance and regulatory matters, specifically with registered investment advisors and broker-dealers. This role demands a deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and exceptional skills in statutory and regulatory analysis, legal writing, and client service.

Duties and Responsibilities:

• Provide legal counsel to registered investment advisors and broker-dealers on compliance and regulatory issues.
• Analyze and apply statutes and regulations related to financial services, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Prepare and review legal documents, including compliance manuals, policy statements, and regulatory filings.
• Represent clients in regulatory investigations and enforcement actions involving the SEC and FINRA.
• Draft and negotiate securities offerings and related legal agreements.
• Advise clients on corporate governance principles and compliance strategies.
• Develop and implement compliance programs and training for clients.
• Maintain up-to-date knowledge of changes in financial regulations and industry best practices.
• Cultivate and maintain strong client relationships through outstanding communication and client service.

Requirements:

• 4 years of experience in compliance and regulatory matters within the financial services industry.
• Experience working with 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 interacting with regulators, including the SEC and FINRA.
• Prior experience in a law firm or work experience at the SEC or FINRA is preferred.
• Membership in the NY Bar in good standing.

Education:

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

Certifications:

• Admission to the New York State Bar.

Skills:

• Strong statutory and regulatory analysis and application.
• Exceptional legal writing skills.
• Proficiency in securities offerings and corporate governance principles.
• Excellent oral and written communication skills.
• Proven commitment to outstanding client service.
• Ability to manage multiple tasks and prioritize effectively in a fast-paced environment.

Benefits:

• Competitive salary with bonus opportunities.
• Health insurance with optional Health Savings Account (HSA).
• Short-term and long-term disability insurance.
• Dental insurance and vision care.
• Life insurance and Healthcare and Dependent Care Flexible Spending Accounts.
• 401(k) plan with firm contributions.
• Generous vacation and sick leave policies.
• Employee Assistance Program (EAP).
• Voluntary programs: 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.