Mid-level Investment Management - Financial Institutions Associate Attorney

A law firm in New York City is seeking a Mid-level Investment Management - Financial Institutions Associate Attorney. The candidate will be responsible for counseling top-tier investment management firms on investment adviser regulatory matters, including registration, conflicts of interest and disclosure, compliance policies and procedures, advertising and marketing, SEC regulatory examinations and enforcement defense, and the development of new products and services. They should have excellent academic credentials, strong organizational, drafting, communication, and analytical skills, and be an active member of the bar in the state. Prior law firm experience or experience working at the Securities and Exchange Commission is preferred.

Duties:

• Counsel top-tier investment management firms on investment adviser regulatory matters.
• Advise on registration, conflicts of interest, disclosure, compliance policies and procedures, advertising and marketing.
• Handle SEC regulatory examinations and enforcement defense.
• Assist in the development of new products and services.
• Conduct legal research and draft legal documents.
• Communicate effectively with clients and colleagues.

Requirements:

• 3-5 years of experience with investment adviser regulatory matters.
• Familiarity and demonstrated experience with the Investment Advisers Act of 1940 and other federal securities law.
• Excellent academic credentials.
• Active member of the bar in the state.
• Strong organizational, drafting, communication, and analytical skills.

Education and Certifications:

• JD from an accredited law school.
• Active membership in the State Bar.

Skills:

• Knowledge of investment adviser regulatory matters.
• Familiarity with federal securities law.
• Strong organizational and drafting skills.
• Excellent communication and analytical skills.
• Ability to work effectively in a team environment.

This large New York law firm opened with a labor and leveraged-leasing practice and quickly built a substantial corporate and litigation practice. Today the office is organized into the following practice groups: Business and Finance, Litigation, Labor and Employment Law, Environmental, Intellectual Property, Taxation, Personal Law, Antitrust, and Trade Regulation. Unlike many other national firms with local offices, the New York office has an independent practice base generated by its attorneys. The New York-based attorneys spend substantially all of their time working on behalf of clients of the New York office. The work environment is fairly casual and conservative, but the attorneys are rewarded with competitive salaries.