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

Job Overview: A law firm in San Francisco, CA, is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with at least 4 years of experience in compliance and regulatory matters. The ideal candidate will be crucial in providing legal counsel to registered investment advisors and broker-dealers, focusing on regulatory and compliance-related issues, including those related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Provide legal guidance and counsel on regulatory and compliance matters.
• Work closely with registered investment advisors and broker-dealers.
• Conduct statutory and regulatory analyses and apply findings to the firm's operations.
• Draft legal documents, including securities offerings, and ensure compliance with relevant laws.
• Assist in corporate and governance matters related to financial services compliance.

Requirements:

• Minimum 4 years of experience in compliance and regulatory matters.
• Experience working with registered investment advisors and broker-dealers.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Prior experience with regulators such as the SEC and FINRA.
• Outstanding communication skills, both oral and written.
• Unrelenting commitment to client service.
• Membership in the CA Bar in good standing.

Education:

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

Certifications:

• Active membership in the CA Bar.

Skills:

• Strong statutory and regulatory analysis and application skills.
• Proficient in legal writing and drafting.
• Knowledge of securities offerings.
• Understanding of corporate and governance principles.

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

• Bonus
• Health insurance with an optional HSA
• Short-term disability
• Long-term disability
• Dental Insurance
• Vision care
• Life insurance
• Healthcare and Dependent Care Flexible Spending Accounts
• 401(k)
• 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.

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.