Attorney Financial Services Regulatory Compliance Associate Mid-Level
Attorney Financial Services Regulatory Compliance Associate Mid-Level
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Job Description
Job Description: Avantis Resources is seeking a midlevel Financial Services Regulatory & Compliance Associate with 35 years of experience to join a dynamic legal team. The ideal candidate will have a strong background in financial services regulation with experience advising clients on compliance matters regulatory frameworks and risk management. This role offers the opportunity to work on complex regulatory issues within a collaborative environment.
Key Responsibilities:
- Advise clients on federal and state financial services regulations including those promulgated by the SEC FINRA and other regulatory bodies.
- Assist clients in developing and implementing compliance programs to adhere to applicable laws and regulations.
- Conduct regulatory risk assessments and provide guidance on mitigation strategies.
- Represent clients in regulatory examinations enforcement actions and compliance audits.
- Stay current on evolving financial services laws and regulations to provide clients with uptodate advice.
Requirements
Benefits
Admission to the Florida Bar (or eligibility for admission). 3-5 years of relevant experience in financial services regulatory and compliance matters, preferably within a law firm or financial institution. Fluency in Spanish is a plus but is not required.
Education
J.D. from an accredited law school with strong academic credentials.
Employment Type
Full Time
