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...