Investment Funds Associate
Alexander Chapman · New York, New York, United States
FULL TIMEpermanent
Job Description
A growing legal organization is seeking an Associate to join its Investment Companies practice, advising on regulatory, compliance, and governance matters for investment advisers, registered investment companies, and related clients.
Make sure to read the full description below, and please apply immediately if you are confident you meet all the requirements.
The role will cover SEC regulatory filings, Marketing Rule reviews, fund formation support, adviser transactions, and SEC examinations, while working alongside attorneys across investment management, private funds, and tax.
What You'll DoAdvise on Form ADV and other regulatory filingsReview marketing materials under the SEC Marketing RuleSupport fund formations, adviser transactions, and restructuringsAssist with SEC examinations and regulatory inquiriesProvide day-to-day regulatory and compliance advice to clientsUtilize modern technology and AI-enabled tools to streamline legal workflows
What We're Looking ForJD and admission in at least one U.S. jurisdiction4–6 years of investment funds xzbcwsv / investment management regulatory experienceHands-on SEC Marketing Rule experienceExperience with SEC examinationsStrong drafting, analytical, and client communication skillsInterest in leveraging technology to improve legal practiceNo prior AI or technical experience required
Make sure to read the full description below, and please apply immediately if you are confident you meet all the requirements.
The role will cover SEC regulatory filings, Marketing Rule reviews, fund formation support, adviser transactions, and SEC examinations, while working alongside attorneys across investment management, private funds, and tax.
What You'll DoAdvise on Form ADV and other regulatory filingsReview marketing materials under the SEC Marketing RuleSupport fund formations, adviser transactions, and restructuringsAssist with SEC examinations and regulatory inquiriesProvide day-to-day regulatory and compliance advice to clientsUtilize modern technology and AI-enabled tools to streamline legal workflows
What We're Looking ForJD and admission in at least one U.S. jurisdiction4–6 years of investment funds xzbcwsv / investment management regulatory experienceHands-on SEC Marketing Rule experienceExperience with SEC examinationsStrong drafting, analytical, and client communication skillsInterest in leveraging technology to improve legal practiceNo prior AI or technical experience required
Details
| Company | Alexander Chapman |
| Location | New York, New York, United States |
| Type | FULL TIME |
| Niche | hr |
| Experience | permanent |