Investment Funds, Regulatory Associate

Recruiter

New York City, NY

Investment Funds, Regulatory Associate

Attorney

1-8 yrs required

No

Job Overview:
A highly regarded law firm is seeking a talented associate to join its Investment Funds Regulatory practice in New York. This role provides an excellent opportunity to advise fund sponsors on a broad spectrum of regulatory issues, including fundraising, compliance, SEC examinations, and enforcement matters. The ideal candidate will have strong familiarity with the Investment Advisers Act of 1940 and experience at a major global law firm.

Location:

• New York, NY

Duties:

• Advise fund sponsors on regulatory compliance related to fundraising and operations

• Review offering materials and fund governing documents for regulatory compliance

• Prepare and file SEC regulatory submissions, including Form ADV and Form PF

• Respond to SEC examinations and enforcement inquiries on behalf of clients

• Counsel clients on the Investment Advisers Act of 1940 and related securities laws

• Assist with regulatory aspects of fund formation, mergers, and transactions

• Monitor and advise on regulatory developments affecting investment managers

Requirements:

• 1 to 3 years of regulatory experience focused on investment funds

• Prior experience at a global or national law firm working with fund sponsors or investment advisers

• Demonstrated expertise in securities regulatory matters involving private funds

• Familiarity with SEC compliance, filings, and audit procedures

Education:

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

• Strong academic performance required

Certifications:

• Admission to the New York State Bar required

Skills:

• Strong knowledge of the Investment Advisers Act of 1940

• Familiarity with the Investment Company Act of 1940 and Securities Act of 1933 preferred

• Excellent legal writing and communication skills

• Ability to manage client relationships and regulatory deadlines

• Detail-oriented with strong analytical and problem-solving abilities

• Effective at managing multiple priorities in a fast-paced practice

Benefits:

• Competitive salary aligned with experience and firm standards

• Comprehensive benefits package including health, retirement, and professional development resources