Regulatory Counsel
Sokol Associates Inc.
Our client, a prominent Asset Management Firm in New York City seeks an attorney with 2-4 years of experience to support the firms' regulatory and compliance efforts.
Responsibilities:
• Analyze a range of legal and regulatory compliance issues.
• Advise the firm's investment professionals on securities laws and regulatory requirements in multiple jurisdictions.
• Partner with technologists to build new Legal & Compliance tools and applications (including Code of Ethics tools), ensuring solutions meet business and regulatory needs.
Qualifications:
• Law degree and two to four years of post-law school experience at a law firm, asset management firm, investment bank, and/or other financial services firm is preferred.
• Demonstrated interest in technology and generative AI.
• Knowledge of the Investment Advisers Act of 1940 or other regulatory regimes is a plus.
Will consider litigation attorney with regulatory experience
Compensation range: $200,000 to $250,000 per year plus bonus
To apply: submit your resume through LinkedIn for this job posting
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