Financial Services Regulatory Enforcement Associate

Profile

Job Overview

A law firm seeks a talented and motivated junior to mid-level associate to join its Financial Services Regulatory Enforcement practice in Seattle, WA. This role focuses on representing financial institutions, fintech companies, and other regulated entities in government investigations, regulatory enforcement matters, and related compliance issues. The position offers the opportunity to work on complex, high-stakes matters involving federal and state financial services regulators while collaborating with a nationally recognized team.

Duties

• Represent financial services companies and fintech clients in regulatory investigations and enforcement matters involving federal and state agencies.



• Respond to government inquiries, civil investigative demands, subpoenas, and regulatory examinations on behalf of clients.



• Draft submissions, advocacy materials, and responses to regulators in connection with enforcement and regulatory matters.



• Conduct internal investigations and assist clients in responding to regulatory scrutiny and enforcement exposure.



• Advise clients on regulatory risk and enforcement exposure across federal and state financial services regulatory frameworks.



• Analyze emerging enforcement trends and advise clients on risk mitigation strategies and compliance best practices.



• Provide strategic guidance to financial institutions and fintech companies navigating complex regulatory environments.



• Assist clients in preparing for high-stakes meetings, presentations, and negotiations with federal and state financial services regulators.



• Support litigation and enforcement-related proceedings arising from regulatory investigations, including drafting motions and legal memoranda.



• Manage factual investigations, document collection and review, and document-intensive productions related to government inquiries.



• Work closely with partners to manage matters and drive workstreams toward completion with partner oversight.



• Collaborate across the firm's financial services and fintech practices on regulatory and enforcement issues affecting shared clients.

Requirements

• 2-3 years of legal experience in regulatory enforcement, government investigations, or related litigation.



• Experience handling matters involving financial services regulators or government enforcement agencies.



• Law firm experience advising financial institutions, fintech companies, or other regulated entities is preferred.



• Strong analytical, research, and writing abilities with a capacity to manage complex matters.



• Ability to take ownership of key components of investigations and enforcement responses.



• Excellent communication and interpersonal skills with the ability to translate complex regulatory issues into practical advice.



• Entrepreneurial and motivated, with a strong sense of ownership over work and comfort in a fast-paced environment.



• Interest in financial services and fintech innovations and regulation.

Education

• J.D. from an accredited law school.

Certifications

• Active membership in the appropriate state bar (or eligibility to obtain admission).

Skills

• Regulatory enforcement and government investigations.



• Legal research and writing.



• Client advisory and strategic guidance.



• Document review and management.



• Interpersonal and communication skills.

Benefits

• Comprehensive benefits package including medical insurance (with an optional Health Savings Account), dental insurance, and vision care.



• Life insurance and disability coverage.



• Sick leave benefits in accordance with the appropriate state Sick & Safe Leave Policy.



• Approximately three weeks of vacation annually, plus 11 paid holidays each year.



• 401(k) retirement planning.



• Healthcare and Dependent Care Flexible Spending Accounts (FSAs).



• Employee Assistance Program (EAP).



• Voluntary benefits including accident, life, disability, long-term care, and pet insurance.



• Commuter and transit programs.



• Annual discretionary bonus eligibility.

Company info

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