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Regulatory Attorney

2 months ago

New York, New York, United States Page Executive Full time

About the Role:

We are seeking a highly skilled Regulatory Attorney to join our In-House legal team at Page Executive.

Key Responsibilities:

  • Navigate complex regulatory frameworks and apply to the company's marketplace of financial products, compliance solutions, and portfolio construction capabilities.
  • Guide the business on 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934 and FINRA regulations.
  • Assess and mitigate regulatory and reputational risks with respect to product offerings and financial technology services.
  • Collaborate with team leads to develop portfolio analytics with robust methodologies and disclosures.
  • Oversee and improve processes for the review of marketing materials.
  • Develop and enhance policies, procedures, and processes for platform offerings of alternative investments and structured products.
  • Engage with regulators, including the SEC and FINRA, and other external parties.
  • Monitor SEC/FINRA and SRO rule developments and educate senior management on regulatory implications.

Requirements:

  • J.D. and admitted to practice law in at least one U.S. state/good standing, state bar.
  • 2+ years of legal practice, specialized experience in advising investment advisers and/or broker-dealers on regulatory obligations Act experience, Securities Act of 1933, Securities Exchange Act of 1934 and FINRA regulations.
  • Knowledge/expertise in the rules and regulations relevant to investment advisers and broker-dealers including, conflicts of interest, the Marketing Rule, and communications with the public.
  • Able to work autonomously and collaboratively within a wider team.
  • Excited by a varied portfolio of work, assisting/advising multiple internal business units including senior stakeholders.
  • Candidates must be eligible to work in the US now/in the future without requiring visa sponsorship.

What We Offer:

  • Competitive base salary - $200,000 - $280,000 + bonus, equity and wider benefits package, salary dependent on experience the client is open to hiring at either AVP, VP or SVP level depending on experience.
  • Hybrid working environment: 3 days/week in the prestigious Midtown, New York City/Manhattan office and 2 days/week working from home.
  • Comprehensive health insurance plan.
  • Generous PTO.
  • Healthy work/life balance and extensive wider benefits package, well-being perks etc.