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

Job Overview: A law firm in Portland, OR, 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 advising registered investment advisors and broker-dealers on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. This position requires a strong background in statutory and regulatory analysis, legal writing, securities offerings, and corporate governance principles.

Duties:

• Provide comprehensive legal counsel on compliance and regulatory matters to registered investment advisors and broker-dealers.
• Conduct thorough statutory and regulatory analysis and apply findings to support clients in navigating complex financial regulations.
• Address issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Collaborate with clients to ensure adherence to securities offerings regulations.
• Offer expertise in corporate and governance principles to guide clients in sound business practices.

Requirements:

• Minimum of 4 years of experience in compliance and regulatory matters.
• Experience working with the SEC and FINRA in a regulatory capacity.
• Prior law firm experience or work experience at the SEC or FINRA is preferred.
• Membership in the Oregon Bar in good standing.

Education:

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

Certifications:

• An active member of the Oregon State Bar.

Skills:

• Strong statutory and regulatory analysis skills.
• Proficient in legal writing with the ability to convey complex information.
• Knowledge of securities offerings regulations.
• Familiarity with corporate and governance principles.
• Excellent oral and written communication skills.
• Commitment to exceptional client service.

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

• Bonus
• Health insurance with an optional Health Savings Account (HSA)
• Short-term disability
• Long-term disability
• Dental Insurance
• Vision care
• Life insurance
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs)
• 401(k)
• Vacation and sick time
• Employee assistance program

Additional voluntary programs include:

• 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.