Investment Funds Regulatory Associate

A law firm seeks an experienced associate to join its Investment Funds Regulatory practice in Chicago. This is an excellent opportunity for an attorney with a strong background in investment management and regulatory compliance to work with top-tier clients. The ideal candidate will have 4-5 years of experience in advising fund sponsors on regulatory matters related to investment funds, with a deep understanding of key legislation such as the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933.

Duties:

• Provide strategic legal advice on the formation, operation, and regulation of investment funds, including private equity, hedge funds, and other fund types.
• Advise clients on compliance with federal securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Assist fund sponsors in navigating regulatory requirements and structuring funds in accordance with applicable laws.
• Work on complex regulatory filings and registrations with the SEC and other regulatory bodies.
• Conduct legal research to ensure compliance with evolving regulations in the investment management space.
• Collaborate with senior partners and clients to devise solutions that align with both regulatory requirements and business goals.
• Keep clients informed of changes in regulations that may affect their operations and provide proactive legal strategies.
• Assist in responding to inquiries from regulatory agencies, including the SEC, and manage investigations or audits as needed.

Requirements:

• 4-5 years of experience in investment management and regulatory matters, including advising on fund formation and compliance.
• In-depth knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933.
• Prior experience advising fund sponsors and navigating SEC filings and other regulatory requirements.
• Strong legal research and analytical skills, with the ability to apply regulatory frameworks to complex client situations.
• Proven track record of managing client relationships and providing actionable regulatory advice.
• Excellent communication skills, both written and verbal.
• Ability to work independently while collaborating effectively with a team of legal professionals.

Education:

• Juris Doctor (JD) from an accredited law school.
• Excellent academic record and a foundation in investment management law.

Certifications:

• Admission to the Illinois State Bar or eligibility for bar admission.

Skills:

• Expertise in regulatory compliance for investment funds.
• Strong drafting and negotiation abilities.
• Detailed understanding of U.S. securities laws and regulations affecting investment funds.
• Proven ability to manage multiple matters in a fast-paced environment.
• Client-focused with a solutions-oriented mindset.
• Ability to provide clear, concise legal guidance on complex regulatory issues.

Benefits:

• Comprehensive health, dental, and vision insurance.
• Retirement plan with employer contributions.
• Generous paid time off, including vacation, sick leave, and holidays.
• Opportunities for career development and growth in a collaborative and supportive environment.
• Work-life balance and flexible scheduling options.

The Illinois law office is the biggest workplace of the firm. The time-honored law practice opened for business at this location one-hundred and three years ago. To date, there are six-hundred and fifty seasoned attorneys staffed at this location. There are eight areas of practice. Disciplines consist of litigation, corporate, real estate, intellectual property, restructuring, tax, employee benefits and tax-estates. The Midwest office received a LEED Silver Certification for their green interior design.