Corporate - Asset/Investment Management Attorney in New York City, NY

In-House

New York City, NY

Corporate - Asset/Investment Management Attorney in New York City, NY

Attorney

Min 5 yrs required

No

Job Title: Marketing & Distribution Compliance, AVP

Job Responsibilities:
The Marketing & Distribution Compliance, AVP will be a vital member of the compliance team, focusing on regulatory compliance issues concerning marketing and other investor/third-party materials and communications. The individual will work collaboratively with the global Legal and Compliance (L&C) team at the company. The AVP will serve as the primary day-to-day counsel for marketing materials and other communications and documents for one or more products. Key responsibilities include:

- Reviewing marketing materials, due diligence responses, investor communications, and other related materials across various investment strategies from a legal, regulatory, and compliance perspective.
- Supervising and training staff to conduct marketing compliance reviews.
- Managing the L&C relationship with several lines of business and related products.
- Attending client meetings to discuss company products and address client questions.
- Serving as primary counsel to the business, advising on existing investors' legal and compliance-related requests.
- Developing internal policies and procedures concerning marketing and related compliance matters, and assisting in maintaining broader L&C policies and procedures consistent with current regulatory guidance.
- Developing educational materials and training for business professionals concerning marketing and fundraising regulations and protocols.
- Assessing current and prospective regulatory risk through industry interaction and research.
- Assisting with other day-to-day L&C matters as needed.

Additionally, the employee will have the opportunity to collaborate with legal and compliance teams dedicated to the company's various other business units and geographic regions and will assist in developing cross-functional compliance policies and procedures supporting regulatory compliance in various geographic regions.

Education and Experience Information:
The successful candidate should possess:

- A minimum of 5+ years of prior experience at a law firm and/or investment management firm.
- Prior experience in a compliance role and/or a . is required.
- A strong understanding of the Advisers Act and FINRA regulations is strongly preferred.
- Knowledge of hedge funds and drawdown funds is a plus.
- Strong attention to detail and analytical skills.
- Strong project management and organizational skills with the ability to manage multiple and sometimes conflicting demands.
- The ability to transform complex compliance, legal, and business problems into commercially actionable work plans.
- Highly effective oral and written communication skills, with the ability to communicate confidently and effectively.
- The ability to work independently while remaining a strong team player who works collaboratively and builds strong working relationships.
- Proactive time management skills and the ability to manage projects independently and to conclusion.
- Substantial initiative, creativity, and drive with the ability to implement a measured approach under competing demands.
- The role may require work outside of regular business hours as needed.

Salary Information:
The expected annual base salary range for this position is $135,000 - $200,000. The actual base salary within that range will be determined by several components, including but not limited to the individual's experience, skills, qualifications, and job location. For roles located outside of the US, the posted salary bands should be disregarded as these roles will follow a separate compensation process based on local market comparables. Additional compensation may include other forms of compensation or benefits offered in connection with the advertised role.

Equal Employment Opportunity Statement:
The company is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other class or status in accordance with applicable federal, state, and local laws. This policy applies to all terms and conditions of employment, including but not limited to hiring, placement, promotion, termination, transfer, leave of absence, compensation, and training. All company employees, including but not limited to recruiting personnel and hiring managers, are required to abide by this policy.

Additional Requirements:
Depending on the position, candidates may be required to obtain certain securities licenses if they are in a client-facing role and/or engaged in activities such as attending client meetings discussing company products, marketing company funds to clients, supervising or training securities licensed employees, structuring or creating company funds/products, or advising on marketing plans. This list is not exhaustive, and roles may require review on a case-by-case basis. Applicants are encouraged to speak with their recruiting contact with any questions.