Regulatory and Investment Management Attorney

3 weeks ago


New York, United States Kinsei Talent Full time

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.

Tasks

You 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.

Requirements

WHO 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.


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