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

Job Overview: A law firm in Glen Allen, VA, is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with at least 4 years of relevant experience. The ideal candidate will be crucial in advising registered investment advisors and broker-dealers on regulatory and compliance matters, demonstrating expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Duties:

• Provide legal counsel on regulatory and compliance issues, specializing in matters related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analyses and apply findings to specific cases.
• Draft legal documents, including securities offerings, and ensure adherence to corporate and governance principles.
• Work closely with regulators, particularly the SEC and FINRA, maintaining a deep understanding of their requirements and expectations.
• Demonstrate an unrelenting commitment to client service through effective and clear communication, both orally and in writing.

Requirements:

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Membership in a VA Bar in good standing.

Preferred Qualifications:

• Prior law firm experience or employment history at the SEC or FINRA.

Education:

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

Certifications:

• Active membership in the Virginia State Bar.

Skills:

• Strong statutory and regulatory analysis capabilities.
• Excellent legal writing skills.
• Experience with securities offerings.
• Solid understanding of corporate and governance principles.
• Familiarity with regulatory bodies such as the SEC and FINRA.

Job Location: Glen Allen, VA

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

• Bonus
• Health insurance with optional Health Savings Account (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