BCG Attorney Search
Mid-Level - Senior Financial Services Compliance And Regulatory Associate Attorn
BCG Attorney Search, Chicago, Illinois, United States, 60290
Mid-Level - Senior Financial Services Compliance And Regulatory Associate Attorney
Company name:
BCG Attorney SearchExperience:
1-8 yrs requiredLocation:
Chicago, IL, United StatesPosted on:
Jul 23, 2024Valid Through:
Aug 22, 2024ProfileA law firm in Chicago, IL, is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with extensive experience in compliance and regulatory matters. The ideal candidate will have a robust background in counseling registered investment advisors and broker-dealers on complex regulatory issues. This role demands high expertise in statutory and regulatory analysis, legal writing, and communication skills. The candidate must demonstrate a commitment to exceptional client service and thoroughly understand the regulatory landscape, including experience with the SEC and FINRA.Duties and ResponsibilitiesProvide legal counsel to registered investment advisors and broker-dealers on regulatory and compliance issues.Analyze and apply statutes and regulations, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Draft and review legal documents, including compliance policies and procedures.Represent clients in interactions with regulators, including the SEC and FINRA.Conduct regulatory compliance audits and assessments.Develop and deliver training on compliance and regulatory matters to clients.Stay updated on changes in laws and regulations affecting financial services.Handle client inquiries and provide strategic advice on complex regulatory matters.Assist in the preparation of securities offerings and corporate governance matters.Collaborate with internal teams to address and resolve compliance issues.Requirements4 years of experience in compliance and regulatory matters, focusing on financial services.Experience counseling registered investment advisors and broker-dealers.Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Familiarity with regulatory bodies such as the SEC and FINRA.Prior law firm experience or experience working with the SEC or FINRA is preferred.Member of the Illinois Bar in good standing.EducationJuris Doctor (JD) from an accredited law school.CertificationsLicensed to practice law in Illinois (IL Bar).SkillsStatutory and regulatory analysis and application.Strong legal writing and analytical skills.Expertise in securities offerings and corporate governance principles.Outstanding oral and written communication skills.Demonstrated commitment to client service.Ability to manage multiple tasks and work under pressure.
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Company name:
BCG Attorney SearchExperience:
1-8 yrs requiredLocation:
Chicago, IL, United StatesPosted on:
Jul 23, 2024Valid Through:
Aug 22, 2024ProfileA law firm in Chicago, IL, is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with extensive experience in compliance and regulatory matters. The ideal candidate will have a robust background in counseling registered investment advisors and broker-dealers on complex regulatory issues. This role demands high expertise in statutory and regulatory analysis, legal writing, and communication skills. The candidate must demonstrate a commitment to exceptional client service and thoroughly understand the regulatory landscape, including experience with the SEC and FINRA.Duties and ResponsibilitiesProvide legal counsel to registered investment advisors and broker-dealers on regulatory and compliance issues.Analyze and apply statutes and regulations, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Draft and review legal documents, including compliance policies and procedures.Represent clients in interactions with regulators, including the SEC and FINRA.Conduct regulatory compliance audits and assessments.Develop and deliver training on compliance and regulatory matters to clients.Stay updated on changes in laws and regulations affecting financial services.Handle client inquiries and provide strategic advice on complex regulatory matters.Assist in the preparation of securities offerings and corporate governance matters.Collaborate with internal teams to address and resolve compliance issues.Requirements4 years of experience in compliance and regulatory matters, focusing on financial services.Experience counseling registered investment advisors and broker-dealers.Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.Familiarity with regulatory bodies such as the SEC and FINRA.Prior law firm experience or experience working with the SEC or FINRA is preferred.Member of the Illinois Bar in good standing.EducationJuris Doctor (JD) from an accredited law school.CertificationsLicensed to practice law in Illinois (IL Bar).SkillsStatutory and regulatory analysis and application.Strong legal writing and analytical skills.Expertise in securities offerings and corporate governance principles.Outstanding oral and written communication skills.Demonstrated commitment to client service.Ability to manage multiple tasks and work under pressure.
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