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

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

Company name

Please ensure you read the below overview and requirements for this employment opportunity completely.

BCG Attorney Search

Experience

1-8 yrs required

Location

Anchorage, AK, United States

Posted on

Jul 23, 2024

Valid Through

Aug 22, 2024

Profile

Job Overview :

A law firm is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with a strong background in compliance and regulatory matters, specifically about registered investment advisors and broker-dealers.

The ideal candidate will have substantial experience in dealing with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and a proven track record of working with regulatory bodies such as the SEC and FINRA.

This role requires outstanding communication skills and a strong commitment to client service. The position is based in Anchorage, AK.

Duties :

• Advise registered investment advisors and broker-dealers on regulatory and compliance issues.
• Interpret and apply statutory and regulatory provisions, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct legal research and draft memoranda, opinions, and regulatory filings.
• Assist clients with securities offerings and corporate governance matters.
• Represent clients in interactions with regulators, including the SEC and FINRA.
• Provide comprehensive compliance support and develop compliance programs for clients.
• Stay updated on relevant laws and regulations changes and advise clients accordingly.
• Collaborate with other attorneys within the firm on complex compliance and regulatory projects.

Requirements :

• Minimum of 4 years of experience working on compliance and regulatory matters.
• Proven experience working with and counseling registered investment advisors and broker-dealers.
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Experience with regulators such as the SEC and FINRA.
• Outstanding communication skills, both oral and written.
• Strong commitment to client service.
• Membership in the Alaska Bar in good standing.

Education :

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

Certifications :

Must be a member of the Alaska Bar in good standing.

Skills :

• Statutory and regulatory analysis and application.
• Legal research and writing.
• Knowledge of securities offerings and corporate governance principles.
• Excellent interpersonal and client relationship skills.
• Ability to manage multiple projects and meet deadlines.
• Strong problem-solving and analytical skills.

Benefits :

• Health insurance with optional Health Savings Account (HSA).
• Short-term and long-term disability insurance.
• Dental and vision care insurance.
• Life insurance.
• Healthcare and Dependent Care Flexible Spending Accounts (FSAs).
• Vacation and sick time.
• Employee Assistance Program (EAP).
• Additional voluntary programs : accident insurance, voluntary life, voluntary disability, voluntary long-term care, and pet insurance.
• Commuter and transit programs.

Company info

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