Mid-Level Investment Management Regulatory Associate Attorney

Mid-Level Investment Management Regulatory Associate Attorney

Company Name : BCG Attorney Search

Experience : 2-10 yrs required

Location : New York City, NY, United States

Posted on : Jul 03, 2024

Valid Through : Aug 02, 2024

Profile :

A law firm in New York City, NY is seeking a Mid-Level Investment Management Regulatory Associate Attorney with 3-6 years of asset management regulatory experience.

The ideal candidate should possess a strong understanding of federal securities laws, particularly the Investment Advisers Act of 1940, and have experience advising clients with global operations across diverse sectors including private equity, private credit, institutional separate accounts, wrap / model programs, and registered funds.

Responsibilities :

• Provide comprehensive legal advice and regulatory guidance to clients on matters related to the Investment Advisers Act of 1940 and other federal securities laws.
• Advise on compliance issues, regulatory filings, and disclosures pertaining to investment management.
• Conduct thorough legal research and analysis on complex regulatory issues impacting investment advisers and asset managers.
• Draft and review a wide range of legal documents including registration statements, compliance policies, advisory agreements, and regulatory filings.
• Assist clients in navigating regulatory examinations, investigations, and enforcement actions.
• Collaborate closely with clients and internal teams to develop and implement effective compliance programs tailored to global operations and diverse business structures.
• Stay updated on regulatory developments and industry trends affecting the investment management sector.

Requirements :

• Juris Doctor (J.D.) degree from an accredited law school.
• Admission to the New York State Bar in good standing.
• 3-6 years of experience practicing investment management regulatory law, preferably at a large law firm, in-house legal department, or regulatory agency.
• Strong working knowledge of the Investment Advisers Act of 1940 and other relevant federal securities laws.
• Proven experience advising clients with global operations and diverse business structures including private equity, private credit, institutional separate accounts, wrap / model programs, and registered funds.
• Exceptional communication skills, both written and verbal, with the ability to effectively convey complex legal concepts.
• Outstanding analytical and organizational abilities with meticulous attention to detail.
• Ability to work independently and collaboratively within a team environment.
• Demonstrated commitment to delivering high-quality legal advice and client service.

Preferred Skills :

• Experience with SEC examinations and regulatory enforcement matters.
• Familiarity with international investment management regulations.
• Advanced degree (LL.M.) in Securities Regulation or related field is advantageous.
• Certifications related to investment management compliance (e.g., CFA, CSCP) are a plus.

Company Info : BCG Attorney Search

BCG Attorney Search

A high number of candidates may make applications for this position, so make sure to send your CV and application through as soon as possible.

125 Park Avenue, 25th floor

New York, NY, United States 10017

Phone : (212) 232-0277

Fax : (213) 895-7306

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