ASSET MANAGEMENT ATTORNEY

Larson Maddox; New York (NY); On-site; USD 120,000 - 210,000; Full time

Job summary

A prestigious financial services firm in NYC seeks an Asset Management Attorney for its Legal Department. The role involves regulatory compliance, interacting with business teams, and a chance to shape legal strategy in a fast-paced environment. Ideal for candidates with a strong background in advisory services and investment products.

Qualifications

• 3+ years of experience with the Advisers Act and FINRA rules.
• Strong understanding of investment advisory products.

Responsibilities

• Review marketing and advertising materials for compliance.
• Advise on SEC and FINRA rules and regulatory filings.
• Negotiate advisory and distribution agreements.

Skills

Understanding of wealth management

Excellent drafting skills

Strong communication skills

Education

NY Bar admission

Job description

A highly respected and long-established financial services firm is looking to add an Asset Management Attorney to its Legal Department in NYC. This is an outstanding opportunity for attorneys-whether currently in-house or in private practice-who are interested in taking on a broad, hands-on role supporting a dynamic investment advisory and broker-dealer platform.

The position focuses on reviewing marketing and advertising materials for advisory programs and funds, advising on compliance with SEC and FINRA rules, supporting regulatory filings (including Form ADV), and negotiating advisory and distribution agreements. The role also involves direct interaction with the business, offering the chance to work closely with portfolio managers, compliance, and product development teams.

Ideal candidates will have :

• 3+ years of experience with the Advisers Act and FINRA rules
• Strong understanding of wealth management and investment advisory products, including wrap fee programs and registered / private funds
• Excellent drafting and communication skills
• NY Bar admission required

This is a great fit for someone seeking meaningful responsibility, high visibility, and the chance to help shape legal strategy across a range of investment offerings. If you're seeking a collaborative, fast-paced environment and want to join a company with deep roots in the financial industry-this could be your next move.

To apply for this position, please submit your application directly through our website. Only qualified candidates will be contacted.

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