Regulatory Counsel – UK/EU Compliance
2 weeks ago
Position Overview:
We are collaborating with a prominent global investment management firm seeking a skilled regulatory and compliance attorney to fulfill the role of Legal Advisor. This position can be based in either Chicago or New York and involves overseeing the legal and regulatory functions pertaining to the UK and EU markets.
Key Benefits:
· Competitive salary and comprehensive benefits package
· Flexible hybrid work environment
· 100% employee-owned organization
· Supportive and collaborative workplace culture
· Recognized as a top employer in the financial services sector
Core Responsibilities:
· Supervise the firm's offerings based in the EU, particularly in Luxembourg and other relevant jurisdictions, ensuring compliance with documentation and regulatory requirements
· Manage the legal aspects of subsidiary operations in the UK and Germany, along with other international activities
· Stay informed and provide guidance on updates to UK and EU regulations, focusing on data privacy, security, and anti-money laundering laws
· Revise and enhance UK and EU compliance policies and procedures as necessary, preparing periodic regulatory documentation in accordance with UK and German laws
· Oversee the filing and monitoring of ongoing obligations related to marketing initiatives and management of EU-based investment vehicles
· Address specific marketing compliance requirements for the UK and EU, including adherence to AIFMD and private placement regulations
Qualifications:
· 7-12 years of legal experience in a law firm or in-house legal department
· Proficiency in German is essential
· Experience with fund formation, M&A transactions, and regulatory documentation
· Knowledge of FCA and BaFin regulations, as well as EU securities laws (including AIFMD) and General Data Protection Regulation
Location:
Chicago or New York (Hybrid)
- Counsel
- In-House
- Banking/Finance, Other
- 1801
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