Mid-Level - Senior Financial Services Compliance And Regulatory Associate Attorney
Company name: BCG Attorney Search
Experience: 1-8 yrs required
Posted on: Jul 23, 2024
Valid Through: Aug 22, 2024
Job Overview:
A law firm in San Francisco, CA, is seeking a highly skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role provides expert legal counsel on regulatory and compliance matters related to registered investment advisors and broker-dealers. The ideal candidate will have a deep understanding of financial regulations, a strong background in working with regulatory bodies such as the SEC and FINRA, and a commitment to exceptional client service.
Duties:
- Advise and represent registered investment advisors and broker-dealers on compliance and regulatory issues.
- Conduct statutory and regulatory analysis and application, focusing on the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Develop and implement compliance programs and policies in alignment with regulatory requirements.
- Draft, review, and negotiate legal documents, including contracts, compliance manuals, and regulatory filings.
- Counsel clients on securities offerings and corporate governance principles.
- Interact with and respond to inquiries from regulatory agencies, including the SEC and FINRA.
- Prepare and deliver oral and written communications to clients and regulatory bodies.
- Conduct legal research and stay updated on industry trends and regulatory changes.
- Assist in handling investigations and enforcement actions involving regulatory agencies.
- Collaborate with internal teams and contribute to the firm's business development efforts.
Requirements:
- 4 years of experience in compliance and regulatory matters related to financial services.
- Proven experience in counseling registered investment advisors and broker-dealers.
- In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Experience working with the SEC and FINRA is highly desirable.
- Membership in the California Bar in good standing is required.
Education:
- Juris Doctor (JD) degree from an accredited law school.
Certifications:
- Active member of the California State Bar.
Skills:
- Strong expertise in statutory and regulatory analysis and application.
- Excellent legal writing and research skills.
- Proficiency in securities offerings and corporate governance principles.
- Outstanding oral and written communication abilities.
- High commitment to client service and professionalism.
- Ability to work effectively under pressure and manage multiple tasks.
- Prior experience in a law firm or with regulatory bodies such as the SEC or FINRA is preferred.
Location:
San Francisco, CA
Compensation and Benefits:
- Competitive salary with performance-based bonuses.
- Comprehensive health insurance with optional HSA.
- Short-term and long-term disability insurance.
- Dental and vision care.
- Life insurance.
- Healthcare and Dependent Care Flexible Spending Accounts.
- 401(k) plan with firm contributions.
- Generous vacation and sick leave.
- Employee assistance program.
- Additional voluntary programs, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance.
- Commuter and transit programs.
Company info:
BCG Attorney Search
1750 Montgomery St Fl 1
San Francisco, California
United States 94111
Phone: (415) 464 6897
Fax: (213) 895-7306
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