1940 Act Attorney

Job Overview:
A law firm is seeking a transactional/regulatory attorney with substantial expertise in the 1940 Act, including the Investment Advisers Act (IAA) and the Investment Company Act (ICA). The role will focus on market regulation within the corporate practice. This opportunity is ideal for a partner or counsel-level candidate who wants to supplement their book of business or a candidate looking for a part-time position. Remote work options are available depending on jurisdiction, and candidates from various office locations will be considered.

Location:

• Los Angeles, CA

Duties:

• Provide regulatory and transactional legal advice on matters related to the 1940 Act, including IAA and ICA.
• Draft and review regulatory compliance documents for clients under the 1940 Act.
• Manage market regulation-related tasks independently.
• Offer guidance on complex legal issues involving investment advisory and investment company matters.
• Maintain and build client relationships, taking ownership of client matters.
• Stay updated on changes in regulatory laws and market trends to provide proactive legal advice.

Requirements:

• Expertise in the 1940 Act, including IAA and ICA.
• Experience working for the SEC or a law firm specializing in regulatory and transactional matters related to the 1940 Act is preferred.
• Ability to manage complex legal issues independently.
• Strong communication skills and client engagement ability.

Education:

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

Certifications:

• Admission to the state bar in relevant jurisdiction(s).

Skills:

• In-depth knowledge of the 1940 Act, IAA, and ICA.
• Strong background in regulatory compliance and market regulation.
• Excellent verbal and written communication skills.
• Strong organizational and client management abilities.
• Ability to work independently and take initiative in client matters.

Benefits:

• Flexible work environment, with remote work options available.
• Opportunity to work in a nationally recognized corporate practice with a large, well-established law firm.
• Potential part-time opportunity for candidates seeking to supplement an existing book of business.

With offices in three states, this firm has almost thirty practice groups, including bankruptcy and financial restructuring, corporate, finance, government relations, healthcare, international, and litigation. Therefore, it is always on the lookout for attorneys who can broaden the firm's expertise, strengthen its service to existing clients, and enhance its prospects for new clients. The recruiters here prefer candidates with character, sound judgment, and leadership potential as well as excellent writing skills and academic credentials.