Investment Funds, Regulatory Associate

Job Overview:
A highly regarded law firm is seeking a talented associate to join its Investment Funds Regulatory practice in New York. This role provides an excellent opportunity to advise fund sponsors on a broad spectrum of regulatory issues, including fundraising, compliance, SEC examinations, and enforcement matters. The ideal candidate will have strong familiarity with the Investment Advisers Act of 1940 and experience at a major global law firm.

Location:

• New York, NY

Duties:

• Advise fund sponsors on regulatory compliance related to fundraising and operations

• Review offering materials and fund governing documents for regulatory compliance

• Prepare and file SEC regulatory submissions, including Form ADV and Form PF

• Respond to SEC examinations and enforcement inquiries on behalf of clients

• Counsel clients on the Investment Advisers Act of 1940 and related securities laws

• Assist with regulatory aspects of fund formation, mergers, and transactions

• Monitor and advise on regulatory developments affecting investment managers

Requirements:

• 1 to 3 years of regulatory experience focused on investment funds

• Prior experience at a global or national law firm working with fund sponsors or investment advisers

• Demonstrated expertise in securities regulatory matters involving private funds

• Familiarity with SEC compliance, filings, and audit procedures

Education:

• Juris Doctor (JD) from an accredited U.S. law school

• Strong academic performance required

Certifications:

• Admission to the New York State Bar required

Skills:

• Strong knowledge of the Investment Advisers Act of 1940

• Familiarity with the Investment Company Act of 1940 and Securities Act of 1933 preferred

• Excellent legal writing and communication skills

• Ability to manage client relationships and regulatory deadlines

• Detail-oriented with strong analytical and problem-solving abilities

• Effective at managing multiple priorities in a fast-paced practice

Benefits:

• Competitive salary aligned with experience and firm standards

• Comprehensive benefits package including health, retirement, and professional development resources

This New York law firm has practice areas that are grouped into six broad categories: bankruptcy, intellectual property, interdisciplinary, litigation, tax & planning and transactional. They have offices located throughout the world and pride themselves on their ability to obtain cost-effective results in complicated litigation, intellectual property and transactional matters. This firm has a stellar reputation as trial lawyers and has represented many major national and international clients. This firms strength and reputation is built upon their strong foundation of ingenuity and leadership. They offer market salaries and have a comfortable work atmosphere.