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Axiom · 2 days ago

Investment Management Counsel

United States

Full-time

Remote

Mid, Senior Level

5+ years exp

Axiom is transforming the legal services landscape by delivering innovative solutions, and they are seeking a mid-level Investment Management Counsel to support clients in the financial services and wealth management sectors. This role involves providing legal support on investment management agreements, broker-dealer operations, and ERISA matters, while collaborating with investment and legal teams.

ComplianceConsultingLaw EnforcementLegalProfessional Services

Hiring Manager

Lorna Cooley-Kelly

Responsibilities

Draft, review, and negotiate investment management and advisory agreements, including term sheets, side letters, and indemnification provisions

Provide legal support on broker-dealer operations and regulatory compliance matters, including OCC, FINRA, and SEC requirements

Advise on ERISA matters related to investments, pension funds, and fiduciary responsibilities (non-employment)

Counsel clients on trust and pension fund governance, institutional asset structures, and investment allocation strategies

Support regulatory inquiries, audits, and compliance assessments, staying current on securities laws and fiduciary standards

Collaborate with investment, compliance, and legal teams to develop and refine investment product and institutional strategies

Qualification

Investment managementBroker-dealer regulationsERISA expertiseInstitutional investment structuresClient relationship managementRegulatory complianceInvestment agreementsClient advisory skillsCommunicationProject management

Required

JD or equivalent with active bar membership in good standing

5–15 years of post-qualification experience in investment management, financial services, or regulatory law

Strong knowledge of broker-dealer regulations, OCC compliance, and institutional investment frameworks

Demonstrated experience with investment agreements, indemnification clauses, and fiduciary duties

Ability to operate independently and manage client relationships in dynamic, fast-paced environments

Preferred

Experience advising institutional asset managers, including pension funds and trust departments

ERISA expertise specifically related to the investment side, not employment/benefits

Familiarity with cross-border and U.S. regulatory frameworks relevant to broker-dealer and investment activity

Previous experience at investment management firms, large wealth management institutions, or fiduciary-focused organizations (e.g., Vanguard, Fidelity) is a plus

Strong communication, project management, and client advisory skills