Mid- to Senior-level Financial Services Compliance and Regulatory Associate
Anchorage, AK
Mid- to Senior-level Financial Services Compliance and Regulatory Associate
The candidate must have 4 years of experience working on compliance and regulatory matters. Should ideally have experience working with and counseling registered investment advisors and broker-dealers on regulatory and compliance-related issues, including issues concerning the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Desired skill sets include: statutory and regulatory analysis and application, legal writing, securities offerings, and corporate and governance principles. Should ideally have experience with regulators including the SEC and FINRA. Prior law firm experience or work experience at the SEC or FINRA is preferred. Must be a member of a local Bar in good standing.
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