What are the responsibilities and job description for the Attorney – Financial Services Regulatory & Compliance Associate (Mid-Level) position at Avantis Resources, LLC?
Job Description
Job Description : Avantis Resources is seeking a mid-level Financial Services Regulatory & Compliance Associate with 3-5 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 up-to-date advice.
Requirements
Benefits
Requirements
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.
