Publicly Held Asset Manager Seeks Compliance & Regulatory Counsel

Our client, a publicly traded financial services company and its affiliated investment advisors located in midtown Manhattan, is seeking a Vice President, Regulatory Compliance Attorney, to work directly with the firm’s Global CCO & Associate General Counsel in a highly visible, strategic role supporting the global compliance program across registered and private fund platforms.

This is not a siloed “check-the-box” compliance position. This role sits at the intersection of legal, regulatory strategy, governance, business advisory, and enterprise risk management, with meaningful exposure to senior leadership and firmwide initiatives. The role reports to the Global CCO and will have 2-3 individuals reporting directly to them and has a clear growth trajectory.

Candidates must have:

1. J.D.
2. Minimum of 6–8 years of legal and regulatory experience, including significant in-house experience at a sophisticated asset manager and ideally also from a top law firm
3. Direct experience working on both registered (’40 Act funds, ETFs, RIAs) and unregistered products (private funds, SMAs, other pooled vehicles)
4. Strong working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940; familiarity with related regulatory frameworks (e.g., NFA, FINRA, AML)
5. Maintains or is willing to obtain relevant FINRA Series licenses including the SIE, Series 7 and Series 24
6. Experience managing a broad compliance team or projects with a strong understanding of both regulatory and trading or guideline compliance
7. Strong judgment, executive presence and the ability to provide practical, business-oriented guidance in complex regulatory environments is also required.

For experienced regulatory and compliance investment management attorneys seeking a substantive, intellectually sophisticated platform with real strategic influence and growth potential, this is an exceptional opportunity.

Responsibilities include supporting the Global CCO in overseeing the firm’s global compliance program across registered and unregistered investment vehicles, including U.S. and non‑U.S. advisory activities, directly shaping and supporting new initiatives and key strategic priorities, as both partner and advisor to the business, serving as a mentor and educator within the Compliance team, and assisting with day‑to‑day compliance matters for investment advisers, registered funds, private funds, and other investment structures.

Compensation will consist of a base of $200,000 to $275,000, as well as a discretionary, performance-based annual cash bonus, restricted stock and a full suite of benefits.

Hours are manageable and reasonable and the in-office requirement is 4 days a week in the midtown Manhattan office.