Intern supporting the data - driven investment team at D11Z Ventures. Involvement in AI - powered dealflow processes and assisting investment managers in day - to - day tasks.
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Hybrid Regulatory Counsel, Investment Adviser
Posted 6 months ago
About the role
- Regulatory Counsel managing legal risks and compliance for investment advisers. Collaborating with legal and leadership teams to interpret regulatory obligations and protect the company's interests.
Responsibilities
- Manage maintain and advise on fund offering documents, navigate and manage ongoing side letters and agreements for separately managed accounts
- Advise on financial market and global trading regulatory obligations, including filings, cybersecurity requirements, and all manner of nuanced topics in the financial market space
- Support the company's compliance with SEC regulatory requirements and industry best practices by working closely with the company’s Chief Compliance Officer and staff
- Provide guidance to Compliance, Technology, Finance, Investor Relations, and Management teams on financial and business legal risks
- Monitor and interpret changes in securities laws, SEC regulations, and corporate governance trends.
- Manage legal efforts to establish counterparty agreements including global clearing and ISDA agreements.
- Assist with Fund board of director meetings and board governance matters.
- Support other attorneys on a variety of business and technology legal responsibilities.
- Support internal investigations and respond to regulatory inquiries as needed.
- Help develop and maintain internal policies and procedures related to securities law compliance.
Requirements
- J.D. from an accredited law school and admission to a U.S. state bar.
- At least 5 years of relevant legal experience, preferably with a combination of law firm and in-house public company experience.
- Substantive experience advising on the Investment Advisers Act, Securities Act, and related SEC regulatory regimes.
- Deep understanding of US and global security regulations, including SEC, CFTC, NFA and FCA frameworks
- Strong grasp of corporate governance, board operations and fiduciary obligations
- Prior experience drafting and negotiating fund offering documents, side letters, ISDAs, NDAs, and other complex financial agreements.
- Ability to come 4 days per week in office with greater flexibility over time.
Benefits
- Competitive salary, plus bonus based on individual and company performance.
- Collaborative, casual, and friendly work environment while solving the hardest problems in the financial markets.
- PPO Health, dental and vision insurance premiums fully covered for you and your dependents.
- Pre-Tax Commuter Benefits – making your commute smoother.
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Tech skills
Location requirements
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