Investment Management Counsel

Overview

An organization is seeking an Investment & Wealth Management Counsel to join its Financial Services team. This role involves providing expert legal advice and support on investment advisory, fiduciary obligations, and wealth management matters to ensure regulatory compliance and mitigate risk.

Responsibilities

• Draft, review, and negotiate investment advisory agreements, trust agreements, and related wealth management documentation.
• Provide legal guidance on fiduciary duties and standards of care, including compliance with SEC and FINRA regulations.
• Advise clients on asset allocation and portfolio diversification strategies within wealth management and investment advisory services.
• Support clients with regulatory compliance under the Investment Advisers Act of 1940 and other applicable securities regulations.
• Assist in developing and implementing tailored wealth strategies and conduct fiduciary reviews for investment and advisory programs.
• Collaborate with internal legal, compliance, and financial teams, as well as external advisors, trustees, and portfolio managers.
• Provide counsel on investment structures, including unregistered funds and private investment vehicles.
• Manage fiduciary, compliance, and investment-related legal matters for clients in financial services, private wealth, and credit sectors.
• Monitor industry developments and regulatory updates impacting investment advisors, fiduciaries, and wealth managers to provide proactive guidance.

Qualifications

• Minimum of 6 years of experience advising on investment advisory, wealth management, or fiduciary compliance matters.
• Strong understanding of fiduciary duties and standards of care, including SEC and FINRA regulatory compliance.
• Experience advising clients on asset allocation, portfolio diversification, and wealth management.
• Demonstrated experience drafting investment advisory and trust agreements.
• Knowledge of the Investment Advisers Act of 1940 and related regulatory frameworks.
• Experience with unregistered funds or private investment vehicles.
• Juris Doctor (JD) degree and licensed to practice law in an applicable jurisdiction.
• Strong communication, negotiation, problem-solving, and technology skills.

Preferred Skills

• Experience with private wealth, private credit, or alternative investment strategies.
• Background advising on complex trust structuring and tailored wealth strategies.
• Experience conducting fiduciary reviews and regulatory risk assessments.
• Familiarity with institutional investment advisory, pension funds, or ERISA-related matters.

Compensation & Benefits

• Estimated total compensation for full-time attorney roles ranges from $104,500 to $325,000 per year.
• Compensation decisions are based on factors including experience, skills, certifications, location, and business needs.
• Additional benefits may include health, dental, and vision insurance; paid holidays and paid time off; flexible work arrangements; and professional development opportunities and tools.

Location

This role is open to candidates in various locations; specific location details and work authorization requirements will be discussed during the hiring process.