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Director Ria Financial Services Jobs in Massachusetts

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Director Ria Financial Services information

What is the difference between Director Ria Financial Services vs Compliance Manager Ria Financial Services?

AspectDirector Ria Financial ServicesCompliance Manager Ria Financial Services
CredentialsRelevant financial certifications, leadership experienceCompliance certifications, regulatory knowledge
Work EnvironmentStrategic leadership, executive meetingsRegulatory adherence, risk assessment
Employer & Industry UsageFinancial services, money transfer industryFinancial services, compliance departments

The Director Ria Financial Services oversees strategic operations and business growth, while the Compliance Manager focuses on regulatory adherence and risk management. Both roles require financial industry knowledge, but the Director has broader leadership responsibilities, whereas the Compliance Manager specializes in compliance and risk mitigation within Ria Financial Services.

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Director Ria Financial Services jobs near you

Financial Services Associate Attorney

Direct Counsel

Boston, MA • On-site

$260K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 13 days ago

Job description

Financial Services Associate Attorney
Locations: Boston, MA | Los Angeles, CA | New York, NY | Philadelphia, PA | San Francisco, CA | Washington, DC

Direct Counsel is seeking a Financial Services Associate Attorney to join the Financial Services practice of a premier Am Law firm. This is an exceptional opportunity to advise leading financial services firms, asset managers, investment advisers, and investment funds on a broad range of regulatory and transactional matters within one of the industry's most respected practices.

The ideal candidate will have 3–7 years of experience with a strong understanding of federal securities laws and an interest in advising clients on the evolving regulatory landscape affecting the asset management industry.

Responsibilities

  • Advise asset managers, investment advisers, investment funds, broker-dealers, and other financial services firms on federal securities laws and regulatory compliance.

  • Counsel clients on matters involving the Investment Company Act, Investment Advisers Act, and other applicable securities regulations.

  • Assist clients with fund formation, registration, regulatory examinations, enforcement matters, and ongoing compliance obligations.

  • Advise on cross-border regulatory issues affecting investment advisers and investment funds.

  • Provide guidance on emerging issues involving exchange-traded funds (ETFs), interval funds, business development companies (BDCs), commodities regulation, blockchain, and digital assets.

  • Collaborate with attorneys across multiple practice areas to provide strategic legal advice on complex financial services and asset management matters.

Qualifications

  • J.D. from an accredited law school with strong academic credentials.

  • 3–7 years of experience in financial services regulation, investment management, or securities law.

  • Strong knowledge of the Investment Company Act and/or the Investment Advisers Act.

  • Experience with exchange-traded funds (ETFs), interval funds, business development companies (BDCs), broker-dealer regulation, commodities regulation, global asset management regulation, or digital assets is a plus.

  • Large law firm, in-house, or regulatory agency experience is preferred.

  • Excellent analytical, drafting, communication, and organizational skills.

  • Active bar admission, or eligibility for admission, in the jurisdiction where the candidate will be based.

Compensation & Benefits

  • Salary: Starting at $260,000, with compensation commensurate with class year and experience.

  • Comprehensive benefits package including medical, dental, vision, retirement savings, paid time off, professional development opportunities, and additional employee wellness benefits.

This is an outstanding opportunity for an attorney looking to build a sophisticated financial services and investment management practice while advising leading asset managers, investment funds, and financial institutions on cutting-edge regulatory and compliance matters.