Mid-level Investment Management - Financial Institutions Associate Attorney

2-8 yrs required

Full-time

No

A law firm in Philadelphia is seeking a Mid-level Investment Management - Financial Institutions Associate Attorney. The candidate will be responsible for providing legal counsel to top-tier investment management firms on regulatory matters, including registration, conflicts of interest, compliance policies, advertising, SEC regulatory examinations, and enforcement defense. The role requires expertise in the Investment Advisers Act of 1940 and other federal securities laws. The ideal candidate will have strong academic credentials, excellent organization, drafting, communication, and analytical skills, along with 3-5 years of experience in investment adviser regulatory matters.

Duties:

• Counsel top-tier investment management firms on regulatory matters.
• Advise on compliance with the Investment Advisers Act of 1940 and other federal securities laws.
• Assist with registration and disclosure requirements.
• Develop compliance policies and procedures.
• Provide guidance on advertising and marketing regulations.
• Represent clients during SEC regulatory examinations and enforcement actions.
• Assist in the development of new products and services.

Requirements:

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

Education and Certifications:

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

Skills:

• Expertise in investment adviser regulatory matters.
• Strong organization and attention to detail.
• Excellent drafting and communication skills.
• Analytical mindset with the ability to solve complex legal issues.
• Ability to work effectively in a team environment.

Legal