Financial Services Compliance & Regulatory Attorney

Direct Counsel is seeking a mid-level to senior Financial Services Compliance/Regulatory Attorney to join a top law firm in their Financial Services Compliance team. We are seeking a dynamic individual with a minimum of four years' experience in compliance and regulatory matters related to the financial services industry. This position can be based in Chicago, Los Angeles, New York, Portland, D.C., San Francisco or Seattle.

Responsibilities:

• Provide legal counsel on compliance and regulatory issues in the financial services sector.
• Work with registered investment advisors and broker-dealers, addressing concerns related to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct statutory and regulatory analysis, and apply legal expertise to guide decision-making.
• Draft and review legal documents, including securities offerings, and ensure adherence to corporate and governance principles.
• Interact with regulatory bodies such as the SEC and FINRA.

Qualifications:

• Juris Doctor (JD) degree from an accredited law school.
• Minimum of four years of experience in compliance and regulatory matters.
• Membership in a local bar in good standing.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Excellent legal writing skills and ability to perform securities offerings.
• Familiarity with corporate and governance principles.
• Experience with SEC and FINRA interactions preferred but not required.
• Outstanding oral and written communication skills.

Benefits:

• Diverse and fast-paced working atmosphere.
• Collegial and collaborative team environment.
• Opportunities to work on challenging matters in the financial services industry.
• Relocation assistance and covered bar expenses for qualified candidates.

Job Type:

• Hybrid - Full-Time