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Job Details

Mid-Level Investment Management Regulatory Associate Attorney

Company name
BCG Attorney Search

Experience
2-10 yrs required

Location
Boston, MA, United States

Industry
Legal

Posted on
Jul 18, 2024

Valid Through
Aug 17, 2024

Profile

A law firm in Boston, MA is seeking a Mid-Level Investment Management Regulatory Associate Attorney with 3-6 years of asset management regulatory experience. The ideal candidate will have a strong understanding of federal securities laws, particularly the Investment Advisers Act of 1940, and significant experience advising clients with global operations across diverse sectors such as private equity, private credit, institutional separate accounts, wrap/model programs, and registered funds.

Job Details:

  • Provide legal advice and regulatory guidance to clients on matters related to the Investment Advisers Act of 1940 and other federal securities laws.
  • Counsel clients on compliance issues, regulatory filings, and disclosures.
  • Conduct legal research and analysis on complex regulatory issues affecting investment advisers and asset managers.
  • Draft and review legal documents, including registration statements, compliance policies, and advisory agreements.
  • Assist clients in navigating regulatory examinations and enforcement actions.
  • Collaborate with clients and internal teams to develop and implement compliance programs.
  • Stay abreast of regulatory developments and industry trends impacting investment management.

Duties:

  • Advise clients on compliance matters related to the Investment Advisers Act and other federal securities laws.
  • Conduct legal research and provide analysis on complex regulatory issues.
  • Draft and review legal documents including compliance policies, advisory agreements, and regulatory filings.
  • Assist with regulatory examinations and enforcement actions.
  • Develop and implement compliance programs for clients with global operations.

Requirements:

  • Juris Doctor (J.D.) degree from an accredited law school.
  • Admission to the Massachusetts Bar in good standing.
  • 3-6 years of experience practicing investment management regulatory law, preferably at a large law firm, in-house legal department, or regulatory agency.
  • Deep knowledge of the Investment Advisers Act of 1940 and other relevant federal securities laws.
  • Experience advising clients with global operations and diverse business structures in asset management, including private equity, private credit, and registered funds.
  • Strong communication skills, both written and verbal, with the ability to communicate complex legal concepts effectively.
  • Excellent analytical and organizational skills, with attention to detail.
  • Ability to work independently and collaboratively within a team environment.
  • Proactive approach to client service and a commitment to delivering high-quality legal advice.

Preferred Skills:

  • Experience with SEC examinations and regulatory enforcement matters.
  • Familiarity with international investment management regulations.
  • Advanced degree (LL.M.) in Securities Regulation or related field is a plus.
  • Certifications related to investment management compliance (e.g., CFA, CSCP) are advantageous.

Company info

BCG Attorney Search
225 Franklin Street, 26th floor
Boston
Massachusetts
United States 02110
Phone : (857) 277-7381
Fax : (213) 895-7306

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