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Associate GC-Investment Advisory Retail, NY – JOB ID: AGC181
Boutique Investment Advisor seeks an Associate GC! Support retail investment advisor and broker dealer.
Function as a “Mini GC.”
Retail investment advisory experience required, 7+ years preferred, will also consider 4+.
ATTRACTIONS:
Be Key Counsel for the investment advisor boutique.
Function as a “Mini GC”: Diverse “soup to nuts” responsibilities; interface and interact with various levels and departments.
Rapidly growing parent is a F100 national financial services organization known for investment funds.
They are adding AUM and continuing with their investment boutique expansion model.
Competitive compensation package: Base plus Cash Bonus plus Long Term Incentive.
Our client is known for rewarding excellence and promoting from within. Nice boss.
Position replaces an attorney who was recently promoted.
Position:
Support boutique retail investment advisor and broker dealer; interface and interact with various levels and departments.
Advise on securities laws and regulations relating to providing financial planning and investment advisory services to retail clients.
Form ADV preparation and related disclosure issues for both the firm and the investment advisory representatives.
Train investment advisory representatives. Advise on legal and regulatory issues relating to hiring, supervising, compensating, terminating and investigations.
Review and evaluate proposed firm business initiatives and financial adviser outside business activities.
Collaborate with business, compliance and legal teams to ensure compliance with all applicable laws and regulations.
Draft, review and provide guidance on compliance and operational procedures.
Review and drafting contracts regarding financial planning and investment advisory services.
Review account documents (e.g., trust documents, pledge agreements) and providing guidance on related issues.
Requirements:
Retail investment advisory experience, 7+ years preferred, will also consider 4+ years.
Relevant securities industry experience; such as with an investment adviser, or the SEC.
Knowledge of Investment Advisory Act of 1940 also required.
Meridian Legal Search is a legal staffing organization specializing in the search, recruitment and placement of attorneys, paralegals and compliance professionals for the nation's leading financial institutions, insurance companies, pharmaceutical companies, law firms, Fortune 500 companies and other major corporations. Meridian was first established in 1936, and has successfully been placing attorneys more than 40 years now. Meridian's clients include corporations (public and private), law firms (large, medium and boutique) and Fortune 1000 and global financial services corporations. We place partners, counsels and associates; general counsel, associate counsel, staff attorneys and paralegals in corporate finance, litigation, securities/compliance, investment banking, investment management, banking, private equity, venture capital, mutual funds, hedge funds, broker dealer, insurance, intellectual property, media, entertainment, information technology, pharmaceutical and many other industries. Our clients are located throughout the United States and overseas. All communication and correspondence with candidates is treated confidentially, and candidate resumes are submitted to clie...nts only upon receiving the candidate's prior express permission to do so. Other services we offer include counseling law firms and corporations on hiring strategies and compensation packages, law firm mergers and diversity hiring programs. We have a state of the art, advanced computer database of 100,000 attorneys and 9,000 law firms, corporations and not-for-profits. Additionally, Meridian Legal Temps, Inc. is a division of Meridian Legal Search. Placements include temporary and temp-to-perm attorneys and paralegals at all levels and in a wide range of practice areas.Meridian Legal Search is a founding member of the National Association of Legal Search Consultants (NALSC) and adheres to the NALSC Code of Ethics.
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