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
Profile
Job Overview: A law firm in Glen Allen, VA, is seeking a highly skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This position requires a professional with a strong background in compliance and regulatory matters, particularly within the financial services sector. The ideal candidate will be adept at navigating complex regulatory environments, providing expert counsel to registered investment advisors and broker-dealers, and demonstrating an unwavering commitment to client service.
Duties:
- Provide legal counsel on compliance and regulatory issues related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Advise and represent registered investment advisors and broker-dealers on regulatory and compliance matters.
- Analyze and interpret statutory and regulatory requirements and apply them to client situations.
- Draft and review legal documents, including compliance policies, regulatory filings, and correspondence.
- Develop and implement compliance programs and procedures for clients.
- Conduct internal audits and regulatory reviews to ensure adherence to laws and regulations.
- Liaise with regulatory bodies such as the SEC and FINRA on compliance issues and investigations.
- Prepare and deliver presentations on compliance topics to clients and internal teams.
- Manage complex compliance and regulatory projects, including mergers, acquisitions, and securities offerings.
Requirements:
- 4 years of experience in compliance and regulatory matters, particularly within the financial services sector.
- Proven experience working with and advising registered investment advisors and broker-dealers.
- Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Experience interacting with regulators, including the SEC and FINRA.
- Excellent oral and written communication skills.
- Strong commitment to client service and the ability to handle high-stakes regulatory issues.
- Membership in the Virginia Bar in good standing.
Education:
- Juris Doctor (JD) from an accredited law school.
Certifications:
- Licensed attorney in the state of Virginia.
Skills:
- Statutory and regulatory analysis and application.
- Legal writing and document drafting.
- Expertise in securities offerings and corporate governance.
- Strong analytical and problem-solving abilities.
- Outstanding communication skills, both oral and written.
- Ability to manage multiple projects and deadlines effectively.
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