Financial Services Compliance & Regulatory Associate Attorney

Company: Directcounsel
Location: Los Angeles
Posted on: March 4, 2025

Job Description:

Position: Mid-level/Senior Financial Services Compliance & Regulatory Associate
Location: New York City, NY, Washington D.C., Washington, Anchorage, AK, Bellevue, WA, Chicago, IL, Culver City, CA, Los Angeles, CA, Portland, OR, Richmond, VA, San Francisco, CA, Seattle, WADirect Counsel is seeking a mid-level or senior associate attorney with a minimum of four years of experience in compliance and regulatory matters to join a market-leading team with a top tanked law firm.Key Responsibilities:

• Counsel registered investment advisors and broker-dealers on regulatory and compliance-related issues, particularly concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and application.
• Engage in legal writing, securities offerings, and corporate governance principles.
• Work with regulators including the SEC and FINRA.Qualifications:
  • Minimum of four years of experience in compliance and regulatory matters.
  • Outstanding oral and written communication skills.
  • A commitment to exceptional client service.
  • Prior law firm experience or experience working at the SEC or FINRA is preferred but not required.
  • Must be a member of a local bar in good standing.The firm offers a diverse, fast-paced, and collegial working environment where associates can engage with interesting and challenging matters in the financial services industry. National applicants seeking to relocate to one of the office locations are encouraged to apply, with relocation and bar expenses covered.Salary:
    The annualized salary range for this position in New York City, California, Washington D.C., and Washington is $260,000 to $330,000. Actual pay will be adjusted based on experience and other job-related factors permitted by law.Full-time employees may be eligible for a bonus and a comprehensive benefits package, including health insurance, 401(k), vacation, and more.Diversity, equity, and inclusion are core values of the firm. They strive to foster a culture where all talented individuals, particularly those from traditionally underrepresented communities in the legal profession, can thrive.
    #J-18808-Ljbffr

Keywords: Directcounsel, Los Angeles , Financial Services Compliance & Regulatory Associate Attorney, Accounting, Auditing , Los Angeles, California