Department: Legal and Compliance

Reports to: Deputy General Counsel

The Company

An independent investment management firm is seeking a Senior Counsel for the Legal and Compliance team. The firm manages assets on behalf of institutional and individual clients, with the core purpose of providing judicious stewardship of client assets. The firm focuses on active, fundamental and benchmark-agnostic investing, with a strong focus on downside protection.

The firm provides a championed work environment that fosters excellence and dedication, and the earned respect of its clients.

Primary Responsibilities

* Senior Investment Management Attorney with Investment Advisers Act of 1940 and Investment Company Act of 1940 experience handling a variety of investment management legal issues.

* Develop a detailed understanding of the client’s business risks and business requirements and use this understanding to manage risk and also craft creative legal solutions to problems facing the business.

* Provide legal counsel and advice to all departments within the company.

* Partner with General Counsel and Deputy General Counsels to manage company’s relationships with outside counsel.

* Assist in the negotiation and implementation of contracts, including investment management agreements.

* Assist with regulatory inquiries and litigation; Monitor new regulatory mandates, rules and requirements.

* Assist in identifying risks and conflicts of interests across all parts of its business and developing compliance policies and conducting annual review.


* Bachelor’s degree and JD required.

* Member of New York state bar or the ability to waive in to the jurisdiction.

*five to nine years of experience in a variety of aspects of investment management practice,

* Contract experience required.

The duties and responsibilities described herein are not a comprehensive list. Additional tasks may be assigned to the employee and the scope of the job may change as necessitated by business demands.

Please Send Resumes to Michael Lane – Mlane@ComplianceSearch.com 


To apply for this job please visit ComplianceSearch.com .

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