Investment Management and Securities Associate

2 months ago

hamilton, United States Stark & Stark Full time

Since 1933, Stark & Stark has developed innovative legal solutions to meet our client's needs. With experienced attorneys in more than 30 practice areas, and a philosophy of putting the law to work for our clients is the basis for building and maintaining our practice.


Stark & Stark's Hamilton office is seeking applications from Investment management and Securities attorneys with exceptional credentials and a genuine passion for the law.


Responsibilities

  • Monitor, identify, and advise clients on regulatory changes.
  • Handle a wide range of matters related to investment adviser and broker-dealer regulatory and compliance topics.
  • Provide compliance and regulatory support and guidance to a large and diverse investment advisory client base.
  • Provide guidance on a full range of issues associated with investment advisers, hedge funds, and broker-dealers including regulatory/compliance matters, investment vehicles and industry best practices.
  • Draft review and or revise advisory agreements and provide support on practical business matters.


Requirements:

Law Degree required; Prior role as a law firm associate and/or with in-house compliance or legal department; work experience focused on RIA and financial services business.


  • Must be a member of the New Jersey State Bar Associate.
  • 3+ years of related legal experience.
  • Possess a working knowledge of the laws, rules, regulations, and market practice governing registered investment advisers, broker-dealers, hedge funds, private equity, and alternative assets.
  • Provide prompt and professional service.
  • Ability to produce outstanding written work.
  • Possess the experience and confidence to interact professionally with senior management, clients, and clients’ representatives.
  • Demonstrated track record of effectively solving problems to a successful resolution and have a willingness and ability to master new laws and regulations as they develop.
  • Must have familiarity with laws and regulations governing the operation of UCITS funds; the Securities Exchange Act; and rules and regulation governing the operation of US broker-dealers, including federal and state securities laws and FINRA regulations.
  • Must be skilled in negotiation and drafting skills.
  • Possess superior verbal and written communication skills.
  • Demonstrate strong integrity and professionalism.
  • Ability to multi-task.
  • Exercise judgment and the ability to work autonomously and as an effective member of a team; and intellectual curiosity and the ability to problem solve independently.


Benefits

Stark & Stark is committed to the health and well-being of its staff members. The firm offers a full range of benefits, including traditional major medical and hospitalization coverage, a prescription plan, a dental plan, a vision plan, life insurance, accidental death, and dismemberment coverage, a profit sharing, and a 401(k) plan, paid vacation, and paid holidays.


Equal Opportunity Employer

Stark & Stark’s policy is to make employment decisions based on merit, ability, and competence. Except where required by law, employment practices shall not be influenced or affected by an applicant’s or staff member’s race, color, religion, sex, national origin, age, or any other characteristic provided by law. Qualified minorities, females, veterans, and attorneys with disabilities are encouraged to apply. It is also our policy to provide a work environment that is free of harassment of any kind, including that which is sexual, age-related, or ethnic.


Mansfield Rule

As part of its continued efforts to actively recruit and advance the recruitment, development, and promotion of diverse lawyers, Stark & Stark is participating in Diversity Lab’s Midsize Mansfield Rule initiative. The Mansfield Rule is named for Arabella Mansfield, the first woman admitted to practice law in the United States. It measures whether law firms affirmatively consider diverse lawyers for hiring, advancement, and significant leadership roles.

Under this initiative, we strive for a candidate pool consisting of at least 30% women, attorneys from underrepresented racial and/or ethnic groups, lawyers with disabilities, and/or LGBTQ+ attorneys. The Mansfield Rule initiative also includes a commitment by Stark & Stark to be transparent in our internal governance, particularly with our selection guidelines and job descriptions for firm management roles and committees.

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