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BCG Attorney Search
San Diego, CA, United States
San Diego office of a BCG Attorney Search Top Ranked Law Firm seeks a transaction attorney with 5 years of experience in the areas of corporate law and business transactions. The candidate will work on the following type of matters: LLC/Corporate Formation; Lease Review; Contract review; Private placements; Mergers and acquisitions; Employment agre
Job Source: BCG Attorney SearchBCG Attorney Search
San Diego, CA, United States
San Diego office of a BCG Attorney Search Top Ranked Law Firm seeks a transactional associate attorney with 1-5 years of experience. The candidate will be serving the business needs of healthcare clients, ranging from emerging digital health companies to large healthcare systems. Should be interested and curious to learn about constantly evolving h
Job Source: BCG Attorney SearchCharles River Laboratories
San Diego, CA, United States
Job Summary We are seeking an experienced Director of Regulatory Services & Compliance to join our Insourcing Solutions team, located in Boston, MA, San Diego, CA, or San Francisco, CA. As the Director of Regulatory Services & Compliance , you will lead regulatory and compliance teams, client regulatory services, and the IACUC for NA Charles R
Job Source: Charles River LaboratoriesBCG Attorney Search
San Diego, CA, United States
Corporate Life Sciences Attorney - Partner Company name BCG Attorney Search Experience 5-12 yrs required Posted on May 15, 2024 Valid Through Jun 14, 2024 Profile A law firm seeks a Corporate Life Sciences Attorney - Partner for its San Diego, CA office. Here's the detailed job description: Job Overview: Become an integral part of the cross-disc
Job Source: BCG Attorney SearchBCG Attorney Search
San Diego, CA, United States
Mid-Level Corporate Securities Associate Attorney Company name BCG Attorney Search Experience 3-8 yrs required Posted on Mar 19, 2024 Valid Through Apr 18, 2024 Profile A law firm in San Diego is seeking a Mid-Level Corporate Securities Associate Attorney with 4-6 years of significant experience in SEC reporting, securities offerings, and related
Job Source: BCG Attorney SearchBCG Attorney Search
San Diego, CA, United States
Mid-Level Transactional Tax Associate Attorney Company name BCG Attorney Search Experience 1-8 yrs required Posted on Jun 25, 2024 Valid Through Jul 25, 2024 Profile Job Overview: A law firm in San Diego, CA, is seeking a Mid-Level Transactional Tax Associate Attorney with a strong background in fund formation, Section 892 investors, real estate,
Job Source: BCG Attorney SearchBCG Attorney Search
San Diego, CA, United States
Job Overview: A law firm is seeking a highly skilled Senior Regulatory Healthcare Attorney to join its San Diego, CA team. The ideal candidate will work collaboratively with attorneys and clients, offering crucial guidance on navigating regulatory requirements in the healthcare sector. This role presents an opportunity to advise dynamic healthcare
Job Source: BCG Attorney SearchBCG Attorney Search
San Diego, CA, United States
Mid-Level Investment Funds Associate Attorney Company name BCG Attorney Search Experience 2-8 yrs required Posted on Feb 07, 2024 Valid Through Mar 08, 2024 Profile Job Overview: A law firm is seeking a Mid-Level Investment Funds Associate Attorney to join their team in San Diego, CA. The ideal candidate will have 3-6 years of experience with a fo
Job Source: BCG Attorney SearchSan Diego, CA, United States
Transactional/SEC/FINRA/Regulatory Compliance Attorney Company name
BCG Attorney Search
Experience
1-12 yrs required
Posted on
Jun 14, 2024
Valid Through
Jul 14, 2024
Profile
Job Overview: A law firm in San Diego, CA, is seeking a skilled Transactional/SEC/FINRA/Regulatory Compliance Attorney with expertise in the Investment Advisers Act of 1940, Securities Act of 1933, Investment Company Act of 1940, and other relevant regulations in the financial services industry. The ideal candidate will provide counsel on SEC, FINRA, Fund, and '40 Act issues, ensuring compliance and strategic guidance to clients.
Job Duties:
Provide legal advice and guidance on regulatory compliance related to the Investment Advisers Act of 1940, Securities Act of 1933, and Investment Company Act of 1940.
Conduct legal research and analysis on SEC, FINRA, and other regulatory issues affecting financial services clients.
Draft and review legal documents, including SEC filings, disclosure documents, and compliance policies.
Assist in developing and implementing compliance programs for financial institutions and investment firms.
Represent clients in regulatory investigations, examinations, and enforcement actions by the SEC, FINRA, and other regulatory bodies.
Stay informed about changes and developments in securities laws, regulations, and industry practices.
Requirements:
Juris Doctor (J.D.) degree from an accredited law school.
Admission to the California State Bar (active and in good standing).
Experience practicing law, focusing on transactional work and regulatory compliance in the financial services sector.
In-depth knowledge of the Investment Advisers Act of 1940, Securities Act of 1933, and Investment Company Act of 1940.
Experience advising clients on SEC and FINRA compliance issues.
Strong analytical skills and attention to detail.
Excellent written and verbal communication skills.
Preferred Qualifications:
Experience with FINRA rules and procedures.
Prior experience with mutual funds, ETFs, or other investment vehicles regulated under the '40 Act.
Certification in securities law or related field (e.g., Certified Financial Planner (CFP), Certified Securities Compliance Professional (CSCP)).
Skills:
Legal research and analysis.
Drafting legal documents and correspondence.
Client counseling and relationship management.
Problem-solving and decision-making in complex regulatory environments.
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Email Alert for Transactional/SEC/FINRA/Regulatory Compliance Attorney jobs in San Diego, CA, United States
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