Investment Management and Securities Associate Attorney

A law firm seeks a highly skilled and motivated Investment Management & Securities Associate to join its team in Hamilton, NJ. The successful candidate will have a strong background in investment adviser and broker-dealer regulatory compliance. This role offers the opportunity to work closely with a diverse range of clients, providing legal guidance on investment funds, hedge funds, private equity, and the full spectrum of compliance and regulatory matters in the financial services industry. The ideal candidate will have a passion for financial services law and a drive to stay ahead of evolving regulations.

Duties

• Monitor and analyze changes in regulations affecting investment advisers, hedge funds, broker-dealers, and financial services businesses.
• Provide expert compliance and regulatory support to a diverse portfolio of investment advisory clients.
• Advise on a wide range of issues related to the operations of registered investment advisers (RIA), hedge funds, and private equity firms.
• Draft, review, and revise advisory agreements, ensuring compliance with applicable laws and regulations.
• Offer strategic guidance on industry best practices and provide support on business matters related to investment vehicles.
• Interact professionally with senior management, clients, and client representatives.
• Proactively solve complex legal and regulatory issues, providing clients with effective solutions and counsel.
• Stay current on laws governing the operation of UCITS funds, US broker-dealers, and applicable securities regulations.

Requirements

• Law degree (Juris Doctor).
• At least 3 years of legal experience, including a focus on investment advisers, broker-dealers, hedge funds, or other financial services sectors.
• Must be a member of the New Jersey Bar.
• In-depth knowledge of federal and state securities laws, including regulations governing the operation of registered investment advisers, broker-dealers, and alternative investment vehicles.
• Expertise in SEC regulations, FINRA rules, and other regulatory bodies relevant to financial services.
• Proven ability to provide high-quality written work and effectively communicate complex legal concepts.
• Strong negotiation and drafting skills.
• Ability to manage multiple tasks and prioritize effectively in a fast-paced environment.
• Excellent communication and interpersonal skills, with the ability to work independently and as part of a team.
• Strong problem-solving abilities and intellectual curiosity, with a commitment to mastering new laws and regulations.

Education

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

Certifications

• Licensed to practice law in New Jersey.

Skills

• Expertise in regulatory compliance and securities law.
• Familiarity with UCITS fund regulations and the Securities Exchange Act.
• Strong verbal and written communication abilities.
• Skilled in negotiation, drafting, and client communication.
• Ability to work autonomously and as part of a team.
• Proactive, with a track record of solving legal and regulatory challenges.
• High level of professionalism and integrity.

Benefits

• Comprehensive medical, dental, and vision insurance.
• Life insurance and accidental death & dismemberment coverage.
• Profit-sharing and 401(k) retirement plan.
• Paid vacation and holidays.