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 New York City. The role involves counseling investment advisers, family offices, and other financial institutions on regulatory, compliance, and fund-related matters.
The Work
- Advise investment advisers, family offices, and other financial institutions on legal, regulatory, and compliance issues arising in their day-to-day operations.
- Counsel clients on the operation and management of private equity, private credit, hedge, and real estate funds.
- Analyze Investment Company Act regulatory, status, and structuring issues for investment funds and their managers.
- Support clients in SEC examinations, investigations, and enforcement proceedings, coordinating with white collar litigators on related matters.
- Advise on complex corporate transactions involving investment advisers and investment funds.
- Address regulatory questions affecting asset managers, including complex or novel issues in changing regulatory and market environments.
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 legal advice.
- Experience supporting clients in SEC examinations, investigations, or enforcement proceedings is relevant to the practice.
- Private equity and hedge fund formation experience is helpful.
Why Consider It
The position offers a broad mix of ongoing regulatory and compliance counseling, fund-related work, complex corporate transactions, and SEC examination, investigation, and enforcement matters.
Associates work with clients across private equity, private credit, hedge, and real estate funds, and may collaborate with white collar litigators on enforcement-related matters.
The practice has a global reach and handles complex and novel issues.
Compensation & Benefits
The employer also offers a well-being program with benefits and resources focused on health, family care, and financial well-being.
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.