Job Description
H1: Join the Financial Services Compliance & Regulatory Team at **MEMBERS ONLY**SIGN UP NOW*** H2: Exciting Opportunity for Mid-level to Senior Associates in All Offices
Bold Headline: Seeking Experienced Compliance & Regulatory Associate for Financial Services Practice Group
Law Firm: **MEMBERS ONLY**SIGN UP NOW*** Job Title: Financial Services Compliance & Regulatory Associate Experience: Minimum 4 years
Salary Range: - New York City: $260,000 - $330,000 (annualized) - California: $260,000 - $330,000 (annualized) - Washington D.C.: $260,000 - $330,000 (annualized) - Washington: $260,000 - $330,000 (annualized)
Responsibilities: - Work on compliance and regulatory matters for registered investment advisors and broker-dealers - Advise on issues related to the Investment Advisers Act of 1940 and Investment Company Act of 1940 - Conduct statutory and regulatory analysis and application - Draft legal documents and provide legal writing - Assist with securities offerings and corporate governance - Interact with regulators, including the SEC and FINRA - Maintain strong commitment to client service
Requirements: - Minimum 4 years of experience in compliance and regulatory matters - Knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940 - Strong communication skills, both written and oral - Member of local bar in good standing - Prior law firm or SEC/FINRA experience preferred but not required
Benefits: - Competitive salary and bonus potential - Health insurance with optional HSA - Short-term and long-term disability coverage - Dental and vision insurance - Life insurance - Healthcare and Dependent Care Flexible Spending Accounts - 401(k) retirement plan - Vacation and sick time - Employee assistance program - Additional voluntary programs available, including pet insurance and commuter/transit programs
Diversity, Equity, and Inclusion: - DEI is a priority at **MEMBERS ONLY**SIGN UP NOW*** - Four-pillar framework: Community, Growth, Education, and Engagement - Commitment to fostering a culture of success for all individuals, including those from underrepresented communities in the legal profession - Learn more at **MEMBERS ONLY**SIGN UP NOW*** Application Process: - Submit cover letter, resume, law school transcript, and list of representations in PDF format - Third-party recruiters accepted - Relocation and bar expenses paid for national applicants
Reasonable Accommodations: - Accommodations available for application and recruiting process, as well as for employees with disabilities or religious reasons - Contact **MEMBERS ONLY**SIGN UP NOW*** for accommodation requests
Join the team at **MEMBERS ONLY**SIGN UP NOW*** as a Financial Services Compliance & Regulatory Associate and be part of a diverse and dynamic working atmosphere. Apply now by clicking the link provided.
