Recruiter

New York City, NY, United States

Mid-Level Investment Management Regulatory Associate Attorney

Attorney

2-11 yrs required

Full-time

No

A law firm in New York City, NY is seeking a skilled and knowledgeable Mid-Level Investment Management Regulatory Associate Attorney with 4-6 years of asset management regulatory experience. The ideal candidate will have a strong understanding of federal securities laws, particularly the Investment Advisers Act of 1940, and experience advising clients with global operations and diverse business models. Experience in a large law firm, in-house, or regulatory agency is required, along with excellent communication, analytical, and organizational skills.

Duties and Responsibilities:

• Provide expert legal advice on regulatory matters related to investment management, with a focus on compliance with the Investment Advisers Act of 1940.
• Advise clients with global operations on complex regulatory issues, including private equity, private credit, institutional separate accounts, wrap/model programs, and registered funds.
• Draft, review, and negotiate regulatory documents, compliance materials, and contractual agreements.
• Conduct thorough legal research and analysis on federal securities laws and relevant regulations.
• Develop and implement strategies to address regulatory and compliance challenges.
• Assist clients in preparing for and responding to regulatory inquiries and examinations.
• Collaborate with internal teams and clients to ensure effective compliance with regulatory requirements.
• Stay informed about changes in securities laws and regulations, and provide strategic guidance on their impact.

Requirements:

• 4-6 years of experience in asset management regulatory matters, with a strong understanding of the Investment Advisers Act of 1940 and federal securities laws.
• Experience working in a large law firm, in-house, or regulatory agency.
• Proven ability to advise clients with global operations and diverse business interests.
• Strong communication, analytical, and organizational skills.
• Experience with a range of investment management issues, including private equity, private credit, institutional separate accounts, wrap/model programs, and registered funds.

Education:

• Juris Doctor (JD) degree from an accredited law school.

Certifications:

• Admission to the Bar in New York, or eligibility for admission.

Skills:

• Deep knowledge of the Investment Advisers Act of 1940 and federal securities laws.
• Excellent legal research, drafting, and analytical skills.
• Strong verbal and written communication skills, with the ability to explain complex legal concepts clearly.
• Exceptional organizational skills and attention to detail.
• Proven ability to manage multiple projects and meet tight deadlines.

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