Investment Funds Regulatory Associate/Counsel

Profile

Job Overview:
A distinguished law firm is seeking a midlevel associate with a minimum of three years of experience for a securities regulatory role, primarily serving private investment fund clients. The role involves preparing SEC filings, advising clients on securities regulations, developing and revising compliance policies, conducting regulatory training, and assisting in business development efforts. This position offers significant growth opportunities, including potential leadership responsibilities in the securities filings group.

Location:

• Dallas, TX

Duties:

• Prepare and advise on SEC filings for private investment fund clients.

• Provide counsel on securities regulations and compliance matters.

• Develop and update compliance policies and procedures.

• Conduct training on regulatory policies and initiatives.

• Assist in business development efforts for compliance and regulatory services.

• Manage responsibilities within the securities filings group, with potential for leadership opportunities.

Requirements:

• Minimum of 3 years of experience in securities regulatory work.

• Familiarity with filings required by the Securities Exchange Act of 1934, including:

  • Schedule 13D

  • Schedule 13G

  • Forms 3 and 4

  • Form 13F

  • Form 13H

• Strong organizational skills and attention to detail.

• Excellent academic and professional credentials.

Education:

• Juris Doctor (J.D.) from an accredited law school.

Certifications:

• Active bar membership in at least one U.S. jurisdiction.

Skills:

• Strong legal research and writing abilities.

• Proficiency in securities regulations and compliance matters.

• Excellent communication and client advisory skills.

• Ability to manage multiple projects with attention to detail.

• Business development experience in the regulatory space is a plus.

Company info

BCG Attorney Search
10777 Westheimer, Suite 1100
Houston
Texas
United States 77042
Phone : (713) 270-1199
Fax : (213) 895-7306