Investment Funds, Regulatory Associate

Job Overview

A premier law firm is seeking a junior-level associate to join its Investment Funds Regulatory practice in Chicago. This role offers the opportunity to engage in a wide variety of regulatory work related to private fund sponsors, including fund formation, SEC compliance, and enforcement matters. The ideal candidate will have a strong foundation in investment funds regulation and a working knowledge of core securities laws applicable to fund managers.

Location

• Chicago, IL

Duties

• Advise fund sponsors on compliance with the Investment Advisers Act of 1940 and other securities laws

• Review and provide guidance on fund offering materials and governing documents

• Assist with regulatory filings, including Form ADV and other SEC submissions

• Support clients through SEC examinations and enforcement actions

• Counsel on regulatory implications of fundraising, transactions, and ongoing fund operations

• Stay current with evolving regulatory developments affecting private fund managers

Requirements

• 1–3 years of experience in investment funds regulatory work at a law firm

• Significant familiarity with the Investment Advisers Act of 1940

• Exposure to the Investment Company Act of 1940 and Securities Act of 1933 (preferred)

• Prior experience with SEC filings and compliance programs

• Admission to the Illinois Bar required

Education

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

Certifications

• Active membership in the Illinois Bar or eligibility for prompt admission

Skills

• Strong knowledge of U.S. securities and investment funds regulatory frameworks

• Excellent legal research and writing skills

• Attention to detail and the ability to manage multiple client matters efficiently

• Effective communication skills for client-facing responsibilities

• Proactive and solutions-oriented approach to regulatory counseling

Benefits

• Comprehensive benefits package for attorneys and professional staff

• Compensation aligned with experience and internal pay equity structures

The Illinois law office is the biggest workplace of the firm. The time-honored law practice opened for business at this location one-hundred and three years ago. To date, there are six-hundred and fifty seasoned attorneys staffed at this location. There are eight areas of practice. Disciplines consist of litigation, corporate, real estate, intellectual property, restructuring, tax, employee benefits and tax-estates. The Midwest office received a LEED Silver Certification for their green interior design.