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Wolfe Research, LLC · 2 weeks ago

Wealth Advisory Asset Management Compliance Attorney (40 Act Focus), SVP

New York, NY

Contract

Onsite

Senior Level

$175K/yr - $250K/yr

5+ years exp

Wolfe Research, LLC is a premier independent sell-side research firm with a commitment to best-in-class content and ongoing strategic growth. They are seeking a Wealth Advisory Asset Management Compliance Attorney to provide legal advice and conduct detailed reviews of investment product documentation, draft and negotiate critical agreements, and lead compliance policy development.

Consumer ResearchInformation TechnologyProduct Research

Growth Opportunities

Responsibilities

Fund/Product Review: provide legal advice and conduct detailed reviews of documentation for investment products offered to clients, which may include registered funds, private funds (e.g., hedge funds, private equity, venture capital that qualify for exemption from ’40 Act registration), and separate account programs

Contract Drafting & Negotiation: draft, review, and negotiate critical agreements, including:

+ Investment advisory agreements and client service contracts

+ Third-party vendor, sub-advisory, and distribution agreements

+ Fund administrator agreements

Disclosure Filings: Assist in the preparation, review, and filing of key regulatory documents, including Form ADV (Parts 1 and 2), and other SEC filings, ensuring accuracy and timely submission

Marketing & Communications Review: Review all public communications, marketing materials, sales literature, performance reports, and client correspondence to ensure compliance with SEC/FINRA advertising rules, focusing on proper risk disclosure and absence of misleading statements

Policy Creation: Lead the drafting, updating, and implementation of the firm's core legal and compliance policies and procedures, including:

+ Code of Ethics and personal trading policies (Rule 204A-1)

+ Compliance Manual and supervisory procedures (Rule 206(4)-7 / Rule 38a-1)

+ Conflicts of Interest Policies

+ Reg BI

Annual Compliance Review: Support the annual Rule 206(4)-7 review process for the Investment Adviser, including documentation, testing, and preparation of the Chief Compliance Officer (CCO) annual report

Regulatory Guidance: Act as an internal subject matter expert, providing timely and pragmatic legal advice to business stakeholders on new regulatory developments and their impact on the wealth management operations

Training & Education: Develop and deliver mandatory legal and compliance training (e.g., annual compliance, insider trading) to employees across the advisory business

Qualification

Juris Doctor (J.D.)Investment Advisers Act knowledgeInvestment Company Act knowledgeSeries 7 certificationSeries 24 certificationContract draftingRegulatory compliancePolicy developmentTrainingEducationPragmatic judgmentOperational execution

Required

Juris Doctor (J.D.) from an accredited law school. Member in good standing of at least one U.S. State Bar

Minimum 5-8 years of legal experience, preferably in-house legal or compliance department of an asset manager, or a regulatory agency

Deep, working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Strong familiarity with other securities laws, including the Securities Act of 1933 and the Securities Exchange Act of 1934

Ability to interpret complex regulatory text and translate it into practical business policies and advice. Excellent drafting and negotiation skills

Preferred

Series 7 and 24 preferred but not required

Benefits

Annual discretionary incentive bonus

Medical, dental and vision coverage

Life, accident and disability insurance

Paid time off packages that include vacation, sick days/leave, paid holidays and paid parental leave

Company

Wolfe Research, LLC

Since Wolfe Research, LLC’s founding in 2008, our mission has been to deliver best-in-class research and service—providing timely, rigorous, and unconflicted insights from the most differentiated, thoughtful and driven Analysts on the Street.

Founded in 2008

New York, New York, USA

201-500 employees