Senior Legal Counsel

Our client, a global investment firm with over $80B in assets is seeking a Senior Associate, Legal Counsel to join their busy legal department!

The Opportunity:
Senior Associate, Legal Counsel:

This role will advise investment and client service teams on various investment advisory matters, support legal and compliance functions, and assist covering a diverse array of regulatory, corporate, fund, contract and investment legal matters across various strategies and business lines.

This role will also work on various compliance matters related to the Investment Advisers Act of 1940.

The ideal candidate will have strong knowledge of:

• The Investment Advisors Act and relevant securities laws.
• We are looking for a candidate with a desire to develop into a
• well-rounded generalist attorney and compliance practitioner.

Principal Responsibilities

• Provide counsel on compliance with U.S. securities and investment advisory laws, including

matters arising under the Investment Advisers Act of 1940, and support securities law matters in

international jurisdictions (UK and Singapore) as needed.

• Advise internal stakeholders on securities and investment advisory-related matters, including

compliance with federal and state securities laws and policy implementation.

• Monitor and interpret changes in securities and investment advisory legislation and ensure timely compliance with evolving regulatory requirements.

• Partner with cross-functional teams to support policy development, compliance training, and

implementation of best practices across business lines.

• Assist with regulatory inquiries in coordination with appropriate internal stakeholders.

• Support the management of regulatory examinations, audits, and engagement with outside counsel as needed.

• Provide general legal support to the broader Legal and Compliance team on cross-functional

initiatives, risk mitigation strategies, and ad hoc projects, with opportunities to develop expertise

across multiple practice areas.

Qualifications

• JD from an accredited law school and licensed to practice in the U.S.

• 4+ years of relevant experience at a leading law firm and/or in-house legal department.

• Expertise in the Securities Act of 1933, Securities Exchange Act of 1934 and/or the Investment

Advisors Act of 1940.

• Demonstrated ability to work collaboratively across departments and with senior leadership in a dynamic, fast-paced environment.

• Strong drafting, analytical, and negotiation skills with excellent judgment and business acumen.

• Exceptional communication skills with the ability to deliver clear, practical legal advice.

• High ethical standards and strong emotional intelligence with a solution-oriented mindset.

• Familiarity with international securities and investment advisory laws, particularly in the UK and

Singapore, is a plus.

• Willingness to perform administrative tasks and grow into a generalist legal role supporting

multiple business functions is essential.

• Experience working with or interest in AI-driven legal tools is a plus