Financial Services Regulatory Enforcement Associate Attorney

Direct Counsel is seeking a Financial Services Regulatory Enforcement Associate Attorney to join a highly regarded Am Law firm in New York, Seattle, or Washington, DC. This opportunity is ideal for an attorney with experience handling regulatory investigations, enforcement actions, and compliance matters involving financial institutions, fintech companies, and other regulated entities.

The successful candidate will join a nationally recognized financial services practice representing clients in high-stakes matters before federal and state regulatory agencies. This role offers substantial client contact, sophisticated regulatory work, and the opportunity to collaborate with attorneys at the forefront of financial services and fintech regulation.

Responsibilities

• Represent financial institutions, fintech companies, and other regulated entities in government investigations and regulatory enforcement matters

• Respond to subpoenas, civil investigative demands, regulatory examinations, and government inquiries

• Draft submissions, advocacy materials, memoranda, and responses to regulatory agencies

• Conduct internal investigations and assist clients facing regulatory scrutiny

• Advise clients on regulatory compliance, enforcement risk, and risk mitigation strategies

• Analyze federal and state regulatory frameworks affecting financial services and fintech companies

• Assist clients in preparing for regulatory examinations, investigations, interviews, and enforcement negotiations

• Support litigation and enforcement-related proceedings arising from regulatory investigations

• Draft motions, legal memoranda, and other advocacy materials

• Manage discovery, document reviews, and factual investigations

• Collaborate with partners and cross-functional teams on complex regulatory and enforcement matters

• Serve as a key member of client teams handling sophisticated financial services matters

Qualifications

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

• 5–7 years of experience in regulatory enforcement, government investigations, or related litigation

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

• Law firm experience representing financial institutions, fintech companies, or other regulated entities preferred

• Government enforcement or regulatory agency experience is highly valued

• Strong analytical, research, writing, and advocacy skills

• Ability to independently manage significant aspects of complex investigations and enforcement matters

• Excellent communication and client counseling abilities

• Ability to translate complex regulatory issues into practical business advice

• Entrepreneurial mindset with strong ownership and project management skills

• Active bar admission in the applicable jurisdiction, or ability to obtain admission

Why Join This Opportunity?

• Work on sophisticated financial services and fintech regulatory matters

• Direct involvement in high-profile government investigations and enforcement proceedings

• Significant responsibility and client interaction

• Collaborative and nationally recognized financial services practice

• Opportunity to work with both established financial institutions and emerging fintech companies

• Strong mentorship, professional development, and advancement opportunities

• Competitive compensation and comprehensive benefits package

Compensation

Base Salary: $225,000 – $330,000

Compensation will be commensurate with experience, qualifications, and geographic location.

Direct Counsel is an Equal Opportunity Employer and welcomes applications from all qualified candidates.