Law Firm

Glen Allen, VA, United States

Financial Services Compliance & Regulatory Associate - Mid-level - Senior Associate

Attorney

Min 4 yrs required

Full-time

No

Law Firm Seeking Financial Services Compliance & Regulatory Associate Mid-Level to Senior Associate Positions Available in All Offices Salary Range: $260,000 - $330,000 per year (annualized) Bonus, health insurance, and other benefits offered Job Description: - Seeking an associate attorney with at least four years of experience in compliance and regulatory matters - Must have experience working with registered investment advisors and broker-dealers - Familiarity with the Investment Advisers Act of 1940 and Investment Company Act of 1940 required - Experience with SEC and FINRA preferred - Strong communication skills and commitment to client service required - Membership in good standing with a local bar association is necessary - Prior law firm or SEC/FINRA experience is a plus Responsibilities: - Provide counsel to clients on compliance and regulatory issues in the financial services industry - Conduct statutory and regulatory analysis and apply to client situations - Draft legal documents and write legal memoranda - Assist with securities offerings and corporate governance matters Qualifications: - Minimum of four years of experience in compliance and regulatory matters - Experience working with registered investment advisors and broker-dealers - Familiarity with Investment Advisers Act of 1940 and Investment Company Act of 1940 - Excellent written and oral communication skills - Strong commitment to client service - Membership in good standing with a local bar association Benefits: - Competitive salary range of $260,000 - $330,000 per year (annualized) - Bonus potential - Health insurance with optional HSA - Short-term and long-term disability insurance - Dental and vision insurance - Life insurance - Healthcare and Dependent Care Flexible Spending Accounts - 401(k) retirement plan - Paid vacation and sick time - Employee assistance program - Additional voluntary programs available, including accident insurance, life insurance, disability insurance, long-term care insurance, and pet insurance - Commuter and transit programs also available Diversity, Equity, and Inclusion: - Davis Wright Tremaine is committed to diversity, equity, and inclusion - DEI is central to our firm's culture and we strive to create a path to success for all talented individuals, including those from traditionally underrepresented communities in the legal profession - Our DEI framework includes four pillars: Community, Growth, Education, and Engagement - Learn more about our commitment to DEI at Application Process: - Submit a cover letter addressed to Aglaia Galimanis, Attorney Recruiting Manager - Upload a resume, law school transcript, and list of representations in PDF format - Third-party recruiters are welcome to submit candidates Accommodations: - Davis Wright Tremaine provides reasonable accommodations for individuals who need them to complete the application or recruiting process - Accommodations may also be made for employees with disabilities or for religious reasons - To request accommodations, please email Join the Financial Services Practice Group at Davis Wright Tremaine LLP as a Financial Services Compliance & Regulatory Associate. This is a great opportunity for a mid-level to senior associate with at least four years of experience in compliance and regulatory matters. The ideal candidate will have experience working with and 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. The position is available in all of our office locations and relocation expenses will be paid for national applicants. Responsibilities for this position include providing counsel to clients on compliance and regulatory issues in the financial services industry, conducting statutory and regulatory analysis, and drafting legal documents and memoranda. The ideal candidate will also have experience with regulators such as the SEC and FINRA. Strong communication skills and a commitment to client service are essential for this role. Prior experience at a law firm or at the SEC or FINRA is preferred, but not required. Candidates must be a member of a local bar in good standing. Davis Wright Tremaine offers a diverse, fast-paced, and collegial working atmosphere where associates have the opportunity to work on some of the most interesting and challenging matters in the financial services industry. We also provide a comprehensive benefits package, including a competitive salary range of $260,000 - $330,000 per year (annualized), bonus potential, health insurance with an optional HSA, and other benefits such as disability insurance, dental and vision insurance, and a 401(k) retirement plan. We are committed to diversity, equity, and inclusion and have embedded these values into our four-pillar framework: Community, Growth, Education, and Engagement. We welcome applicants from all backgrounds, including those from traditionally underrepresented communities in the legal profession. Learn more about our commitment to DEI at . To apply for this position, please upload a cover letter, resume, law school transcript, and a list of representations in PDF format. Third-party recruiters are welcome to submit candidates. We also provide reasonable accommodations for individuals who need them to complete the application or recruiting process and for employees who need accommodations due to a disability or for religious reasons. If you require accommodations, please email . Join our team at Davis Wright Tremaine as a Financial Services Compliance & Regulatory Associate and be a part of our market-leading team. Apply now by clicking on the link above. We look forward to hearing from you!

Upload cover letter, resume, law school transcript, and list of representations in PDF format through the corporate careers page

Qualification and Experience Minimum of four years’ experience working on compliance and regulatory matters, member of a local bar in good standing

Legal

Hiring Coordinator
Davis Wright Tremaine LLP
4870 Sadler Road
Suite 301
Glen Allen, VA 23060
Phone: 804-762-5320