Mid-Level - Senior Financial Services Compliance And Regulatory Associate Attorney

Job Overview:

A law firm in Los Angeles, CA, seeks a skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will have a robust compliance and regulatory background, with specific expertise in advising registered investment advisors and broker-dealers. This role requires a deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and involves interacting with regulatory bodies such as the SEC and FINRA.

Duties:

• Counsel registered investment advisors and broker-dealers on regulatory and compliance-related issues.
• Provide legal analysis and advice concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis to ensure adherence to applicable laws and regulations.
• Draft and review compliance policies and procedures for clients.
• Represent clients with regulatory agencies, including the SEC and FINRA.
• Develop and deliver compliance training and guidance to clients.
• Prepare detailed legal memoranda, opinions, and reports.
• Stay current on changes in financial services laws and regulations.
• Collaborate with other attorneys and staff within the firm to support client needs and case strategies.

Requirements:

• Minimum of 4 years of experience working on compliance and regulatory matters in the financial services sector.
• Proven experience advising registered investment advisors and broker-dealers.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience working with regulatory bodies, including the SEC and FINRA.
• Strong legal writing skills and experience with securities offerings and corporate governance principles.
• Excellent communication skills, both oral and written.
• Demonstrated commitment to providing outstanding client service.
• Membership in the California Bar in good standing.

Education:

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

Certifications:

• Must be a licensed attorney in California.

Skills:

• Expertise in statutory and regulatory analysis and application.
• Proficient in legal writing and drafting.
• Strong understanding of securities offerings and corporate governance principles.
• Effective communication and interpersonal skills.
• Ability to work independently and as part of a team.
• High level of professionalism and dedication to client service.

Location:

• Los Angeles, CA

Benefits:

• Competitive salary with performance-based bonus.
• Comprehensive health insurance, including optional HSA.
• Short-term and long-term disability insurance.
• Dental and vision insurance.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs).
• 401(k) retirement plan with firm match.
• Generous vacation and sick time.
• Employee Assistance Program (EAP).
• Additional voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
• Commuter and Transit programs.