Mid-level Investment Management - Financial Institutions Associate Attorney

A law firm in Philadelphia is seeking a Mid-level Investment Management - Financial Institutions Associate Attorney. The candidate will be responsible for providing legal counsel to top-tier investment management firms on regulatory matters, including registration, conflicts of interest, compliance policies, advertising, SEC regulatory examinations, and enforcement defense. The role requires expertise in the Investment Advisers Act of 1940 and other federal securities laws. The ideal candidate will have strong academic credentials, excellent organization, drafting, communication, and analytical skills, along with 3-5 years of experience in investment adviser regulatory matters.

Duties:

• Counsel top-tier investment management firms on regulatory matters.
• Advise on compliance with the Investment Advisers Act of 1940 and other federal securities laws.
• Assist with registration and disclosure requirements.
• Develop compliance policies and procedures.
• Provide guidance on advertising and marketing regulations.
• Represent clients during SEC regulatory examinations and enforcement actions.
• Assist in the development of new products and services.

Requirements:

• 3-5 years of experience with investment adviser regulatory matters.
• Familiarity with the Securities and Exchange Commission.
• Strong understanding of the Investment Advisers Act of 1940 and federal securities laws.
• Excellent academic credentials.
• Active member of the Bar in the state.
• Prior law firm experience preferred.

Education and Certifications:

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

Skills:

• Expertise in investment adviser regulatory matters.
• Strong organization and attention to detail.
• Excellent drafting and communication skills.
• Analytical mindset with the ability to solve complex legal issues.
• Ability to work effectively in a team environment.

This is one of the top law firms in the country to work forin its huge Philadelphia office, this firm draws rave reviews. Although much more a large firm atmosphere than most of the East Coast (non-New York) based firms, this firm has one of the most exciting full service practices around. However, it is not easy to get in with this fairly elite group of attorneys--they are very picky about their candidates. The culture here is fairly competitive--although the partners take care of their own, this is a group of high powered professionals who are used to acheiving at very high levels--and used to beating out the guy next door. This internal drive will keep associates staying later and later to earn bragging rights on occasion--but it's not as if the work isn't abundant enough to keep you there.