A growing legal organization is seeking an Associate to join its Investment Companies practice , advising on regulatory, compliance, and governance matters for investment advisers, registered investment companies, and related clients.
To be considered for an interview, please make sure your application is full in line with the job specs as found below.
The role will cover SEC regulatory filings, Marketing Rule reviews, fund formation support, adviser transactions, and SEC examinations , while working alongside attorneys across investment management, private funds, and tax.
What You'll Do
- Advise on Form ADV and other regulatory filings
- Review marketing materials under the SEC Marketing Rule
- Support fund formations, adviser transactions, and restructurings
- Assist with SEC examinations and regulatory inquiries
- Provide day-to-day regulatory and compliance advice to clients
- Utilize modern technology and AI-enabled tools to streamline legal workflows
What We're Looking For
- JD and admission in at least one U.S. jurisdiction
- 4–6 years of investment xhqgsiq funds / investment management regulatory experience
- Hands-on SEC Marketing Rule experience
- Experience with SEC examinations
- Strong drafting, analytical, and client communication skills
- Interest in leveraging technology to improve legal practice
- No prior AI or technical experience required
Investment Funds Associate in new york at Unknown Company
This position is listed as full time and onsite.