Mid-level Investment Management - Financial Institutions Associate Attorney

2-8 yrs required

Full-time

No

A law firm in Washington, DC is seeking a Mid-level Investment Management - Financial Institutions Associate Attorney. The candidate will have comparable law firm experience and/or experience working at the Securities and Exchange Commission (SEC). They will possess familiarity and demonstrated experience with the Investment Advisers Act of 1940 and other federal securities laws. The role involves counseling top-tier investment management firms on various regulatory matters, including registration, conflicts of interest, compliance policies, SEC examinations, and enforcement defense. Strong academic credentials, organization, drafting, communication, and analytical skills are required. The candidate must be an active member of the bar in the state.

Duties:

• Counsel top-tier investment management firms on investment adviser regulatory matters.
• Advise on registration, conflicts of interest, compliance policies, and procedures.
• Assist with advertising, marketing, and disclosure requirements.
• Provide guidance on SEC regulatory examinations and enforcement defense.
• Collaborate with clients on the development of new products and services.
• Conduct legal research and draft legal documents.

Requirements:

• 3-5 years of experience with investment adviser regulatory matters.
• Comparable law firm experience or experience at the Securities and Exchange Commission.
• Familiarity with the Investment Advisers Act of 1940 and federal securities laws.
• Strong academic credentials.
• Active member of the Bar in the state.

Education and Certifications:

• JD from an accredited law school.
• Active membership in the State Bar.

Skills:

• Excellent organization, drafting, and communication skills.
• Analytical mindset with attention to detail.
• Ability to work independently and as part of a team.
• Knowledge of investment management and financial regulations.
• Proficiency in legal research and analysis.

Legal