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Financial Services Regulatory & Enforcement Associate – Washington, DC

Our client’s Financial Service Regulatory & Enforcement practice is seeking an associate with 5 to 7 years of experience to join the Broker-Dealer Regulation & Compliance practice in the Washington DC office. The ideal candidate will currently or have previously worked or dealt with SEC, FINRA or another SRO or worked in-house at a financial institution.

Previous experience in the Broker-Dealer industry as a bond trader, research analyst, compliance officer, or counsel is preferred, but not required as well as any specialty certifications in securities regulation or as a Certified Anti-Money Laundering Specialist.

 

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