Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney Job in Los Angeles, CA Near Me - 322072 | BCGSearch.com

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

Type Full-Time

Location California - Los Angeles

Job ID FD3P322072

Experience Level Midlevel Associate

Job Experience Min. 4 - Max. 8 Years

Ranking 4 : Medium to Large Business $$$$

Estimated Salary Highest Salary Band in the Market

Practice Areas Corporate - Asset / Investment ManagementCorporate - GeneralFinance - GeneralFinance - Financial Services Regulation

2024-05-14 19:50:31

Job Overview: A law firm in Los Angeles, CA, is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with a minimum of 4 years of experience in handling compliance and regulatory matters. The ideal candidate will play a crucial role in advising 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.

Duties:

  • Provide comprehensive legal counsel on regulatory and compliance matters, focusing on issues related to 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 with relevant laws.
  • Offer guidance on securities offerings, corporate governance principles, and other related financial services matters.
  • Collaborate with clients, demonstrating outstanding communication skills, both oral and written, and maintaining an unwavering commitment to client service.
  • Utilize experience in working with regulators, particularly the SEC and FINRA, to address and resolve regulatory challenges effectively.

Requirements:

  • Minimum of 4 years of experience in financial services compliance and regulatory matters.
  • Membership in the CA Bar in good standing is mandatory.
  • Prior law firm experience or work experience at the SEC or FINRA is preferred.

Education:

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

Certifications:

  • Admission to the California Bar.

Skills:

  • Strong statutory and regulatory analysis and application skills.
  • Proficient in legal writing with a keen understanding of securities offerings.
  • Familiarity with corporate and governance principles.
  • Experience in dealing with regulators, including the SEC and FINRA.
  • Outstanding communication skills, both oral and written.

Benefits: The firm offers a comprehensive benefits package, including:

  • Bonus
  • Health insurance with an optional Health Savings Account (HSA)
  • Short-term disability and long-term disability coverage
  • Dental insurance and vision care
  • Life insurance
  • Healthcare and Dependent Care Flexible Spending Accounts
  • 401(k) retirement plan
  • 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.

Your information will not be forwarded to any employers at this time. A recruiter will contact you with more information once our internal review of your resume is completed.

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