Registered Funds Associate Attorney

Job Title: Registered Funds Associate Attorney

Job Overview:
A distinguished law firm in New York City, NY, is actively seeking a mid-level associate attorney to join its financial regulatory and investment management team. This role involves providing legal support to clients operating across the investment management and asset advisory landscape, particularly focusing on matters related to registered investment funds. The ideal candidate will bring specialized knowledge of regulatory frameworks governing such entities, with an emphasis on compliance, structuring, and disclosure obligations.

Duties:

• Advise clients on legal and compliance issues related to the Investment Company Act and Investment Advisers Act

• Draft and review offering documents, registration statements, shareholder communications, and board materials

• Counsel on governance, operations, and regulatory filings for registered investment companies, including open-end funds and ETFs

• Support clients in launching new investment vehicles and in ongoing regulatory compliance

• Collaborate with cross-practice teams on matters involving securities, tax, and corporate law

• Assist clients with interactions and filings with the SEC and other regulatory bodies

• Handle legal issues involving variable insurance products, business development companies, and investment advisers

Requirements:

• 3-6 years of relevant experience working with registered investment companies

• Strong command of the Investment Company Act of 1940 and the Investment Advisers Act of 1940

• Familiarity with ETF structures, variable insurance products, and BDCs is considered advantageous

• Previous experience in a large law firm, financial institution, or regulatory agency preferred

• Demonstrated ability to manage complex client matters and regulatory issues independently

Education:

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

Certifications:

• Admission to the New York State Bar

Skills:

• Deep understanding of federal securities laws and fund regulatory frameworks

• Strong drafting, negotiation, and legal analysis capabilities

• Ability to communicate complex regulatory concepts clearly to clients

• Proven project management skills with attention to detail and timelines

• Capable of working both independently and collaboratively across multidisciplinary teams

Job Location:

• New York City, NY

A recent merger has put this firm on the map on a global scale, although the firm's reputation is rather regional. Very much substance over form, this firm boasts international clientele and a sizable New York office without much fanfare of notoriety. We like this firm because, with a the headquarters in a smaller legal market, the philosophy of the firm is more lifestyle oriented than some of the large New York firms. Although associates won't get as many oohs and ahs after pulling out their business card, the sophistication of work and glamour factor with the international clientele competes with some of the big New York shops. For associates willing to forgo a bit in salary, the more than adequate New York office is the best of both worlds in terms of work and lifestyle.