Mid-Level Investment Management Regulatory Associate Attorney

Mid-Level Investment Management Regulatory Associate Attorney

Company name
BCG Attorney Search

Experience
2-11 yrs required

Posted on
Oct 26, 2024

Profile

A law firm located in Boston, MA is seeking a Mid-Level Investment Management Regulatory Associate Attorney with 4-6 years of asset management regulatory experience. The ideal candidate will possess a strong understanding of federal securities laws, particularly the Investment Advisers Act of 1940. This role requires experience in advising clients with global operations and diverse business models, including private equity, private credit, institutional separate accounts, wrap/model programs, and registered funds. The successful candidate will have demonstrated strong communication, analytical, and organizational skills, with experience in large law firms, in-house legal departments, or regulatory agencies.

Duties:

• Provide regulatory and compliance advice related to the Investment Advisers Act of 1940 and other federal securities laws.
• Advise clients with global operations on complex regulatory matters and compliance issues.
• Assist in the development and implementation of compliance programs for asset management clients.
• Draft and review legal documents, including compliance policies, advisory agreements, and disclosure documents.
• Represent clients in regulatory inquiries, investigations, and examinations.
• Counsel clients on regulatory changes and their impact on business operations.
• Conduct legal research and analysis to support regulatory advice and strategies.
• Collaborate with clients to address regulatory concerns and implement best practices in compliance.

Requirements:

• 4-6 years of asset management regulatory experience.
• Strong understanding of the Investment Advisers Act of 1940 and federal securities laws.
• Experience advising clients with global operations and diverse business models, including private equity, private credit, institutional separate accounts, wrap/model programs, and registered funds.
• Demonstrated experience in large law firms, in-house legal departments, or regulatory agencies.

Education:

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

Certifications:

• Admission to the bar in Massachusetts (or eligibility for admission).

Skills:

• Strong communication skills, both written and verbal.
• Excellent analytical and organizational skills.
• Ability to handle complex regulatory issues and provide clear, actionable advice.
• Proven track record of advising clients on asset management and investment management regulations.
• Experience with legal research and the preparation of legal documents.
• Capacity to work effectively with clients and internal teams in a fast-paced environment.

Company info

BCG Attorney Search
225 Franklin Street, 26th floor
Boston
Massachusetts
United States 02110
Phone : (857) 277-7381
Fax : (213) 895-7306

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