Regulatory Counsel – Investment Management

• Investment management regulatory SME.
• Leading FS firm looking to add to high performing legal team.

Do not wait to apply after reading this description a high application volume is expected for this opportunity.About Our Client

Investment management firm.

Job Description

• Collaborate with teams across the firm and with Legal & Compliance colleagues to ensure all business activities are carried out in full compliance with applicable legal, regulatory, and internal requirements.
• Review and assess complex legal and regulatory issues relating to the firm’s trading activity, particularly involving swaps and other derivative instruments, and develop and implement the necessary policies and procedures.
• Provide guidance to investment professionals on derivatives, securities laws, and regulatory obligations in multiple jurisdictions to support compliant and effective trading operations.
• Lead or support the preparation of regulatory filings and serve as a point of contact with regulatory authorities.
• Provide guidance on regulatory and compliance risk management, helping the firm anticipate and mitigate emerging risks.
• Conduct legal research, develop educational materials, and deliver training to internal teams on evolving regulatory requirements.
• Contribute to the development, enhancement, and implementation of firm‑wide compliance policies and procedures to strengthen the control environment.

The Successful Applicant

A successful Regulatory Counsel – Investment Management should have:

• Juris Doctor (JD) degree from a T-25 accredited law school with excellent academic credentials.
• Admission to NY State Bar.
• 5-12 years of experience at a top law firm, asset management firm, investment bank, and/or other financial services firm handling SWAPs, derivatives and regulatory matters.
• Experience drafting ISDAs, confirms, MSFTAs, and other derivative documentation.
• Strong knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940.
• Proven ability to analyze complex legal and regulatory issues effectively.
• Excellent communication and negotiation skills.
• Detail-oriented approach with strong organizational skills.
• Ability to work collaboratively with cross-functional teams.

What’s on Offer

• Competitive base salary ranging from $285,000 to $355,000 USD.
• Comprehensive benefits package.
• Cash bonus, LTIP.
• Potential for professional growth and development. xwzovoh
• Collaborative and professional work environment.

…