1940 Act Attorney

Job Overview:
A prominent law firm is seeking an experienced transactional/regulatory attorney with expertise in the 1940 Act, including the Investment Advisers Act (IAA) and the Investment Company Act (ICA). This role focuses on market regulation within the corporate practice. It presents an exciting opportunity for a partner or counsel-level candidate interested in supplementing their book of business or for a candidate seeking a part-time opportunity. Remote work options are available, and the firm is open to considering candidates from various office locations.

Location:

• New York City, NY

Duties:

• Provide legal advice on transactional and regulatory matters related to the 1940 Act, including the IAA and ICA.
• Draft and review compliance documents for clients, ensuring adherence to the 1940 Act.
• Manage market regulation-related tasks and offer counsel on complex legal issues.
• Maintain and strengthen client relationships by providing expert legal guidance.
• Stay current on regulatory changes in the 1940 Act and related laws.
• Work with senior partners and colleagues to handle a wide range of market regulation matters.

Requirements:

• Expertise in the 1940 Act, including IAA and ICA.
• Experience in regulatory and transactional work involving the 1940 Act, ideally with SEC experience or law firm exposure.
• Strong ability to manage complex legal issues independently.
• Client management experience and the ability to foster strong professional relationships.

Education:

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

Certifications:

• Admission to the state bar in relevant jurisdiction(s).

Skills:

• In-depth knowledge of the 1940 Act and related regulatory frameworks (IAA, ICA).
• Strong regulatory compliance and market regulation expertise.
• Excellent verbal and written communication skills.
• Strong organizational skills and the ability to manage multiple tasks efficiently.
• Ability to work independently and collaboratively with a team.

Benefits:

• Flexible work environment, with remote work options depending on jurisdiction.
• Opportunity to work in a nationally recognized corporate practice within a large law firm.
• Potential for part-time work for those seeking a more flexible schedule.

Although more commonly thought of as a Washington, DC, firm, this New York office has many of the same practice areas. As this firm continues to grow its New York office, this is a tremendous opportunity for associates to get in on the ground floor in terms of shaping the character of the office. We like the litigation work that is being done in this office, as it has a decidedly corporate bent, with an emphasis on securities litigations. A down-to-earth group of attorneys, this office should emerge as a practice unto itself over time.