Head of Compliance Projects

FINANCIAL SERVICES - ASSOCIATE ATTORNEY

Financial Services & Investment Management Practice Group

O ur client, a global AmLaw 50 law firm , with a nationally recognized Financial Services practice , is seeking a talented Associate Attorney to join its growing team. This is an exceptional opportunity to work within one of the industry’s most sophisticated asset management and financial regulatory practices, advising a diverse client base that ranges from emerging managers and boutique firms to some of the world’s largest financial institutions. The practice has been at the forefront of innovation in the financial services space for decades, offering attorneys exposure to cutting-edge regulatory, compliance, and enforcement matters across the global asset management landscape.

JD from a top-tier law school with an excellent academic record .
~ 3-7 years of substantive experience in financial services, investment management or securities law .

Strong working knowledge of the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940
Experience advising asset managers, investment funds, and financial services firms on regulatory and compliance matters
Exposure to exchange-traded funds (ETFs), interval funds, business development companies (BDCs), or global asset management regulation is a plus
Exposure to broker-dealer, commodities, and/or digital asset matters preferred
Large law firm, in-house, or regulatory agency experience strongly preferred
Ability to manage multiple matters and work effectively in a collaborative environment

Advise asset managers, investment advisers, broker-dealers, and investment funds on a wide range of federal securities and financial services regulatory matters
Counsel clients on fund formation, registration, compliance, and ongoing regulatory obligations
Assist clients with regulatory examinations, investigations, and enforcement matters
Provide guidance on broker-dealer and commodities regulation , as well as emerging issues involving blockchain and digital assets
Work closely with clients on cross-border regulatory issues impacting global asset management operations
Collaborate with cross-functional teams to deliver strategic, business-oriented legal solutions

This is a unique opportunity to join one of the most established and forward-thinking financial services practices in the industry. With decades of experience advising market participants, the team remains at the cutting edge of regulatory developments and innovation in asset management. Includes medical, dental, vision, life, and pet insurance, extensive emotional health resource programs, social connectedness programs, 401(k) and retirement plans, generous PTO, parental leave, family concierge, commuter benefits, relocation allowance, professional development resources, and additional firm-sponsored programs .

Application Requirements