ACC is committed to compliance with all applicable equal employment laws. ACC In-house Jobline listings may not explicitly or implicitly discriminate on the basis of any prohibited factor.
Listings on the ACC In-house Jobline are for in-house attorney positions only. While we do not accept non-attorney corporate job listings, if you are hiring a corporate legal operations professional, contact LawDepartmentOps@ACC.com. By posting a job on the ACC In-house Jobline or using the service as a job seeker, you are agreeing to comply with our Terms and Conditions, including those relating to discrimination. The system administrator may delete postings, which do not comply. Employer postings removed by ACC are not subject to refund.
We are very interested in your thoughts as we continue to develop the ACC In-House Jobline to better serve your needs. If you have questions about ACC In-house Jobline, please call our helpdesk at: 1-888-491-8833 Ext. 1125 (Extension Required).
Mid-Level In-House Regulatory Counsel Position Investment Advisers Act Attorney at Financial Services Firm
This is an outstanding opportunity for a mid-level regulatory attorney to join a growing, collegial legal team at the New York City headquarters of Focus Financial Partners. Focus Financial Partners is a leading partnership of wealth management firms located throughout the United States and abroad (www.focusfinancialpartners.com). The successful candidate will be self-motivated and comfortable working in a dynamic and entrepreneurial public company environment.
Support senior attorneys in providing advice to the company’s subsidiaries on securities laws and regulations, particularly the Investment Advisers Act of 1940 and the rules thereunder.
Support senior attorneys in providing counsel to regulated entities (primarily registered investment advisers) undergoing regulatory examinations and inquiries.
Advise on securities laws and regulations relating to providing investment advisory services to retail and institutional clients.
Advise on preparation of, and disclosure issues related to, Form ADV and other regulatory forms.
Support investment advisers with regulatory and compliance initiatives and take ownership of associated projects relating to the wealth management/financial services industry.
Support M&A and other transactions by assisting senior attorneys with regulatory and compliance due diligence on investment advisers and other financial services firms.
Monitor regulatory trends and draft updates for distribution.
Perform legal research and assist with other miscellaneous legal matters as needed.
Assist in managing outside counsel when necessary.
Support corporate secretarial functions and related corporate filings.
Assist in drafting of reporting documents and filings.
A Juris Doctor degree from a nationally recognized U.S. law school. Admission to one state bar and eligible to be registered in New York as in-house counsel.
Four to six years as an attorney at a major U.S. law firm focusing largely on investment adviser matters, at an SEC-registered investment adviser focusing on SEC compliance matters, at the SEC itself in the investment adviser examination program, or a combination of the foregoing. Prior experience at the SEC a definite plus.
Thorough knowledge, understanding and application of the Investment Advisers Act of 1940. An understanding of SEC regulation of investment companies, private funds and broker-dealers a plus. Experience with SEC examinations a definite plus.
Desire to work collaboratively as part of a cohesive team.
Sound business judgment and the ability to think strategically.
Ability to manage multiple complex projects efficiently.
Excellent writing and oral communication skills.
Proficiency in PowerPoint, Word, and Excel.
Please send your resume indicating the position you are applying for in the subject line to firstname.lastname@example.org.
About Focus Financial Partners, LLC
Focus Financial Partners is a leading partnership of independent, fiduciary wealth management firms.Focus provides access to best practices, resources, and continuity planning for its partner firms who serve individuals, families, employers and institutions with comprehensive wealth management services. Focus partner firms maintain their operational independence, while they benefit from the synergies, scale, economics and best practices offered by Focus to achieve their business objectives.