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Regulatory and Investment Management Attorney
4 months ago
A reputable asset management firm seeks an attorney to support its regulatory compliance efforts across a variety of disciplines. This role offers the opportunity to work on challenging and innovative projects within a collaborative environment that values inclusiveness, rigorous analysis, and creative problem-solving.
TasksYou will work closely with various teams across the firm and other members of the Legal & Compliance department to ensure that the firm’s activities comply with applicable legal and regulatory requirements. Responsibilities include analyzing a range of legal and regulatory compliance issues, developing policies and procedures, and advising the firm’s investment professionals on securities laws and regulatory requirements in multiple jurisdictions.
RequirementsWHO WE’RE LOOKING FOR:
- Candidates should have a law degree and five to seven years of post-law school experience at a law firm, asset management firm, investment bank, or other financial services organization.
- Strong written and verbal communication skills, attention to detail, and the ability to identify and analyze regulatory and compliance issues in a fast-paced and dynamic business environment are required.
- Knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and/or the Commodity Exchange Act is a significant plus.
