Mid-Level Investment Management Regulatory Associate Attorney

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.

Job Details:

• 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.

Duties:

• Provide legal counsel on compliance matters under the Investment Advisers Act of 1940 and federal securities laws.
• Conduct in-depth legal research and analysis related to complex regulatory issues in investment management.
• Draft and review legal documents such as compliance policies, advisory agreements, and regulatory filings.
• Assist clients in responding to regulatory examinations and enforcement actions.
• Develop and implement compliance strategies for clients with diverse global operations.

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.

A recent merger has put this firm on the map on a global scale, although the firm's reputation is rather regional. Very much substance over form, this firm boasts international clientele and a sizable New York office without much fanfare of notoriety. We like this firm because, with a the headquarters in a smaller legal market, the philosophy of the firm is more lifestyle oriented than some of the large New York firms. Although associates won't get as many oohs and ahs after pulling out their business card, the sophistication of work and glamour factor with the international clientele competes with some of the big New York shops. For associates willing to forgo a bit in salary, the more than adequate New York office is the best of both worlds in terms of work and lifestyle.