Our client, a leading New York-based investment manager, is seeking an Assistant General Counsel & Compliance Officer to join its growing legal and compliance team.
This is a newly created opportunity to work directly with the General Counsel & Chief Compliance Officer and gain broad exposure across the firm's legal, regulatory, and compliance functions.
Responsibilities
- Advise on legal and regulatory matters related to the firm's investment management business and investment products
- Support the firm's funds and advisory mandates, including registered funds, private funds, and other investment vehicles
- Draft and negotiate commercial agreements, including vendor agreements, NDAs, distribution agreements, and other contracts
- Review marketing materials and support ongoing compliance monitoring
- Assist with regulatory filings, examinations, internal reviews, and compliance reporting
- Advise on corporate governance and other general legal matters
- Partner with Trading, Operations, Technology, and Client Services teams
- Support the development and maintenance of the firm's legal and compliance policies and procedures
- Take ownership of projects and help identify and address legal and compliance risks across the business
Qualifications
- J.D. from an accredited law school and admission to the New York State Bar
- Approximately 3–8 years of relevant legal experience
- Background in asset management, investment management, investment funds, or financial services
- Strong understanding of regulatory and legal issues affecting investment managers
- Investment Company Act / ’40 Act experience is a plus, but not required
- Comfortable working across both legal and compliance matters
- Strong analytical, communication, organizational, and interpersonal skills
- Business-minded, proactive, and comfortable taking ownership
- Interested in broadening their practice and developing into a well-rounded legal and compliance professional
Opportunity
This is an opportunity for an attorney who wants to move beyond a narrowly defined practice and gain broad, hands-on exposure to an investment management business while working closely with senior leadership.
The ideal candidate is someone who is intellectually curious, collaborative, and excited by the opportunity to take on meaningful responsibility across both legal and compliance.
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