FINANCIAL COMPLIANCE & REGULATORY ASSOCIATE (0668)
Description
Our client, a renowned law firm, is seeking an associate attorney with a minimum of four years' experience in compliance and regulatory matters to join their Financial Services Practice Group. The ideal candidate will have experience counseling registered investment advisors and broker-dealers on regulatory and compliance-related issues, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Key skills include statutory and regulatory analysis and application, legal writing, securities offerings, and corporate governance principles. Experience with regulators such as the SEC and FINRA is highly desirable. Excellent communication skills and a commitment to client service are essential. Prior law firm experience or work at the SEC or FINRA is preferred but not required. Candidates must be members of a local bar in good standing. The firm offers a diverse and fast-paced working environment where associates can work on challenging matters in the financial services industry. National applicants willing to relocate are welcome. Interested candidates are encouraged to apply below or confidentially reach out at inquiry@khawajapartners.com
Job #0668
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