Mid-level Investment Management - Financial Institutions Associate Attorney

Profile

A law firm in New York City is seeking a Mid-level Investment Management - Financial Institutions Associate Attorney. The candidate will be responsible for counseling top-tier investment management firms on investment adviser regulatory matters, including registration, conflicts of interest and disclosure, compliance policies and procedures, advertising and marketing, SEC regulatory examinations and enforcement defense, and the development of new products and services. They should have excellent academic credentials, strong organizational, drafting, communication, and analytical skills, and be an active member of the bar in the state. Prior law firm experience or experience working at the Securities and Exchange Commission is preferred.

Duties:

• Counsel top-tier investment management firms on investment adviser regulatory matters.
• Advise on registration, conflicts of interest, disclosure, compliance policies and procedures, advertising and marketing.
• Handle SEC regulatory examinations and enforcement defense.
• Assist in the development of new products and services.
• Conduct legal research and draft legal documents.
• Communicate effectively with clients and colleagues.

Requirements:

• 3-5 years of experience with investment adviser regulatory matters.
• Familiarity and demonstrated experience with the Investment Advisers Act of 1940 and other federal securities law.
• Excellent academic credentials.
• Active member of the bar in the state.
• Strong organizational, drafting, communication, and analytical skills.

Education and Certifications:

• JD from an accredited law school.
• Active membership in the State Bar.

Skills:

• Knowledge of investment adviser regulatory matters.
• Familiarity with federal securities law.
• Strong organizational and drafting skills.
• Excellent communication and analytical skills.
• Ability to work effectively in a team environment.

Company info

BCG Attorney Search
125 Park Avenue, 25th floor
New York
New York
United States 10017
Phone : (212) 232-0277
Fax : (213) 895-7306