Mid-level Investment Funds Regulatory Associate/Counsel

Profile

Job Overview:
A law firm is currently seeking a midlevel associate with at least 3 years of experience in securities regulation, primarily serving private investment fund clients. The role focuses on preparing SEC filings for clients, advising on securities regulations, revising compliance policies, conducting client training on regulatory matters, and contributing to business development efforts. This position offers significant opportunities for professional growth, including potential management and leadership roles in the securities filings group.

Location:

• San Francisco, CA

Duties:

• Prepare and file SEC documents, including Schedule 13D, Schedule 13G, Forms 3 and 4, Form 13F, and Form 13H, for private investment fund clients.
• Advise clients on securities regulations and ensure compliance with relevant laws.
• Draft and revise compliance policies and procedures for investment fund clients.
• Conduct training for clients on regulatory policies, procedures, and updates.
• Assist in business development by pitching for new work in the compliance and regulatory areas from new and existing clients.
• Manage and mentor junior associates as needed.

Requirements:

• Minimum of 3 years of experience in securities regulatory matters, with a focus on investment funds.
• Familiarity with SEC filings under the Securities Exchange Act of 1934, including Schedule 13D, Schedule 13G, Forms 3 and 4, Form 13F, and Form 13H.
• Strong organizational skills and attention to detail.
• Ability to manage multiple tasks and meet deadlines in a fast-paced environment.

Education:

• Juris Doctor (JD) from an accredited law school.

Certifications:

• Licensed to practice law in the state where the position is located.

Skills:

• Excellent written and verbal communication skills.
• Strong analytical and problem-solving abilities.
• High level of professionalism and attention to client needs.
• Ability to work both independently and as part of a team.
• Familiarity with SEC regulations and filings related to investment funds.

Benefits:

• Opportunity for professional growth and leadership advancement.
• Exposure to high-profile clients in the investment fund industry.
• Competitive salary and benefits package (specific details provided by the firm).

Company info

BCG Attorney Search
1750 Montgomery St Fl 1
San Francisco
California
United States 94111
Phone : (415) 464 6897
Fax : (213) 895-7306