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Exciting In-House Legal and Regulatory Attorney Position Investment Advisers Act Attorney at Financial Services Firm
This is an outstanding opportunity for a skilled regulatory attorney to join a growing, collegial legal team at the New York City headquarters of Focus Financial Partners (NASDAQ: FOCS). Focus 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 environment. The position is at the holding company level and will involve assisting both the holding company and its SEC-regulated subsidiaries with a wide variety of legal and regulatory needs.
Provide advice to the company and its subsidiaries on securities laws and regulations, particularly the Investment Advisers Act of 1940 and the rules thereunder.
Provide 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 registered 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 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.
Assist General Counsel with corporate secretarial functions and related corporate filings.
Assist General Counsel in drafting of public company reporting documents and filings.
A Juris Doctor degree from a nationally recognized U.S. law school. Eligibility to be registered as in-house counsel in New York or member of New York State Bar.
At least four years of experience as an attorney in one or more of the following roles:
At a major U.S. law firm, including experience with investment adviser matters;
At an SEC-registered investment adviser focusing on SEC compliance matters; or
At the SEC itself in an investment adviser regulatory role.
More experienced candidates are welcome. Prior experience at the SEC a definite plus, including experience with enforcement matters.
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 and investigations a definite plus.
Desire to work collaboratively as part of a cohesive team.
Sound business judgment and the ability to think strategically.
Ability to work in a dynamic environment and manage multiple projects efficiently.
Excellent written and oral communication skills.
Proficiency with the Microsoft Office suite of applications.
Involves some travel
Compensation is competitive and includes excellent benefits.
Please send your resume to firstname.lastname@example.org and indicate the title of this position in the subject line.
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.