Asset Management Attorney
A highly respected and long-established financial services firm is looking to add an Asset Management Attorney to its Legal Department in NYC. This is an outstanding opportunity for attorneys-whether currently in-house or in private practice-who are interested in taking on a broad, hands-on role supporting a dynamic investment advisory and broker-dealer platform.
The position focuses on reviewing marketing and advertising materials for advisory programs and funds, advising on compliance with SEC and FINRA rules, supporting regulatory filings (including Form ADV), and negotiating advisory and distribution agreements. The role also involves direct interaction with the business, offering the chance to work closely with portfolio managers, compliance, and product development teams.
Ideal candidates will have:
- 3+ years of experience with the Advisers Act and FINRA rules
- Strong understanding of wealth management and investment advisory products, including wrap fee programs and registered/private funds
- Excellent drafting and communication skills
- NY Bar admission required
This is a great fit for someone seeking meaningful responsibility, high visibility, and the chance to help shape legal strategy across a range of investment offerings. If you're seeking a collaborative, fast-paced environment and want to join a company with deep roots in the financial industry-this could be your next move.
To apply for this position, please submit your application directly through our website. Only qualified candidates will be contacted.
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