Investment Management and Broker-Dealer Regulatory Associate Attorney (Legal)
job ID:o2c2151290
Washington, D.C. office of our client seeks investment management and broker-dealer regulatory associate attorney with 2-4 years of experience. The candidate will work hands-on with a wide variety of broker-dealer and investment adviser clients seeking to deliver services in various markets through different platforms and mediums in compliance with the federal and state securities laws and the rules of self-regulatory organizations. Provides advice to clients on regulations governing investment advisers and broker-dealers, bank fiduciaries, pooled investment vehicles (including mutual funds, bank collective investment funds, and retirement and insurance investment products), and the retirement marketplace. Should have a strong foundation in the Investment Advisers Act of 1940, Securities Exchange Act of 1934 and related FINRA rules and industry knowledge. Must have skills and knowledge related to regulatory matters with the SEC and FINRA.
The product of a recent transatlantic merger, this firm is a truly global force, with offices across the U.S., Europe, Africa, Asia, and the Middle East. This full-service firm is strong in the areas of corporate, mergers and acquisitions, litigation, energy and infrastructure, finance, employment law, construction, intellectual property, real estate, and tax. With a staggering number of Fortune 100 companies as clients, this firm is well-poised for continued growth. Associates who join this firm can expect complex work and sophisticated matters.