Mid-Level Investment Management Regulatory Associate Attorney

A law firm in New York City, NY is seeking a skilled and knowledgeable Mid-Level Investment Management Regulatory Associate Attorney with 4-6 years of asset management regulatory experience. The ideal candidate will have a strong understanding of federal securities laws, particularly the Investment Advisers Act of 1940, and experience advising clients with global operations and diverse business models. Experience in a large law firm, in-house, or regulatory agency is required, along with excellent communication, analytical, and organizational skills.

Duties and Responsibilities:

• Provide expert legal advice on regulatory matters related to investment management, with a focus on compliance with the Investment Advisers Act of 1940.
• Advise clients with global operations on complex regulatory issues, including private equity, private credit, institutional separate accounts, wrap/model programs, and registered funds.
• Draft, review, and negotiate regulatory documents, compliance materials, and contractual agreements.
• Conduct thorough legal research and analysis on federal securities laws and relevant regulations.
• Develop and implement strategies to address regulatory and compliance challenges.
• Assist clients in preparing for and responding to regulatory inquiries and examinations.
• Collaborate with internal teams and clients to ensure effective compliance with regulatory requirements.
• Stay informed about changes in securities laws and regulations, and provide strategic guidance on their impact.

Requirements:

• 4-6 years of experience in asset management regulatory matters, with a strong understanding of the Investment Advisers Act of 1940 and federal securities laws.
• Experience working in a large law firm, in-house, or regulatory agency.
• Proven ability to advise clients with global operations and diverse business interests.
• Strong communication, analytical, and organizational skills.
• Experience with a range of investment management issues, including private equity, private credit, institutional separate accounts, wrap/model programs, and registered funds.

Education:

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

Certifications:

• Admission to the Bar in New York, or eligibility for admission.

Skills:

• Deep knowledge of the Investment Advisers Act of 1940 and federal securities laws.
• Excellent legal research, drafting, and analytical skills.
• Strong verbal and written communication skills, with the ability to explain complex legal concepts clearly.
• Exceptional organizational skills and attention to detail.
• Proven ability to manage multiple projects and meet tight deadlines.

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.