Associate General Counsel & Compliance Officer

JW Michaels & Co.

Our client, a leading New York-based investment manager, is seeking an Assistant General Counsel & Compliance Officer to join its growing legal and compliance team.

This is a newly created opportunity to work directly with the General Counsel & Chief Compliance Officer and gain broad exposure across the firm's legal, regulatory, and compliance functions.

Responsibilities

Advise on legal and regulatory matters related to the firm's investment management business and investment products
Support the firm's funds and advisory mandates, including registered funds, private funds, and other investment vehicles
Draft and negotiate commercial agreements, including vendor agreements, NDAs, distribution agreements, and other contracts
Review marketing materials and support ongoing compliance monitoring
Assist with regulatory filings, examinations, internal reviews, and compliance reporting
Advise on corporate governance and other general legal matters
Partner with Trading, Operations, Technology, and Client Services teams
Support the development and maintenance of the firm's legal and compliance policies and procedures
Take ownership of projects and help identify and address legal and compliance risks across the business

Qualifications

J.D. from an accredited law school and admission to the New York State Bar
Approximately 3–8 years of relevant legal experience
Background in asset management, investment management, investment funds, or financial services
Strong understanding of regulatory and legal issues affecting investment managers
Investment Company Act / ’40 Act experience is a plus, but not required
Comfortable working across both legal and compliance matters
Strong analytical, communication, organizational, and interpersonal skills
Business-minded, proactive, and comfortable taking ownership
Interested in broadening their practice and developing into a well-rounded legal and compliance professional

Opportunity

This is an opportunity for an attorney who wants to move beyond a narrowly defined practice and gain broad, hands-on exposure to an investment management business while working closely with senior leadership.

The ideal candidate is someone who is intellectually curious, collaborative, and excited by the opportunity to take on meaningful responsibility across both legal and compliance.

Apply

Vacancy posted 22 hours ago

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