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

Job Overview

A law firm in Bellevue, WA, is seeking a Mid-to Senior-level Financial Services Compliance and Regulatory Associate Attorney with a minimum of 4 years of experience. The ideal candidate should possess expertise in compliance and regulatory matters, particularly advising registered investment advisors and broker-dealers on issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Exceptional communication skills and a commitment to client service are crucial for success in this role.

Duties

• Provide counsel on regulatory and compliance issues, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis and apply findings to ensure compliance.
• Draft and review legal documents, including securities offerings, and ensure adherence to corporate and governance principles.
• Collaborate with regulators, particularly the SEC and FINRA, on behalf of clients.
• Demonstrate an unwavering commitment to client service.

Requirements

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Prior experience with regulators, including the SEC and FINRA.
• Membership in the WA Bar in good standing.

Education

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

Certifications

• Admission to the Washington State Bar.

Skills

• Strong statutory and regulatory analysis and application skills.
• Proficient in legal writing.
• Experience with securities offerings.
• Knowledge of corporate and governance principles.
• Outstanding oral and written communication skills.

Benefits

The 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
• 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.