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Advise Asset Managers Through SEC Examinations, Investigations, and Fund Structuring

Washington, District of Columbia Full time 3-6 years
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Position overview

Our client is seeking an associate with at least three years of relevant asset management regulatory experience to join its Investment Funds Regulatory Practice in Washington, D.C. The role involves advising investment advisers, family offices, and other financial institutions on complex regulatory, compliance, and fund-structuring matters.

The Work

  • Advise investment advisers, family offices, and financial institutions on day-to-day regulatory and compliance issues affecting their businesses and investment funds.
  • Counsel clients on the requirements of the Investment Advisers Act of 1940, including matters arising from the operation and management of private funds.
  • Analyze Investment Company Act of 1940 regulatory, status, and structuring issues for investment funds and related entities.
  • Support clients in SEC examinations, investigations, and enforcement proceedings, coordinating with white collar litigators on related matters.
  • Advise on legal and regulatory issues connected with private equity, private credit, hedge, and real estate funds.
  • Work on complex corporate transactions involving investment advisers and investment funds, including structuring considerations.
  • Engage with a range of asset managers, from established global firms to emerging buyout, venture, and credit fund sponsors.

What You Bring

  • At least three years of relevant asset management regulatory experience.
  • Strong working knowledge of the Investment Advisers Act of 1940.
  • Strong working knowledge of the Investment Company Act of 1940.
  • Experience advising investment advisers or other financial institutions on regulatory and compliance matters.
  • Ability to analyze fund regulatory, status, and structuring questions and provide practical client guidance.
  • Experience supporting clients in SEC examinations, investigations, or enforcement proceedings is relevant.
  • Private equity or hedge fund formation experience is helpful.

Why Consider It

This opportunity combines ongoing regulatory counseling with complex fund and adviser structuring work, SEC examination and enforcement matters, and corporate transactions.

The practice advises a varied client base that includes established global asset managers and emerging private fund sponsors, with work across private equity, private credit, hedge, and real estate funds.

Compensation & Benefits

The supplied base compensation estimate is approximately $260,000; discretionary bonuses may be available depending on application circumstances and position.

Comprehensive benefits and well-being resources are also offered.

Confidentiality

This is a confidential opportunity. Contact Advocates Legal Recruiting to discuss the role and receive additional details about the client and team. All inquiries will be handled confidentially.