Job Overview – Senior Legal and Compliance Counsel
Compensation: $180,000–$200,000/year + bonus ($350,000–$400,000 total compensation)
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Senior Legal and Compliance Counsel in New York, NY for our client, supporting investment advisory, securities regulatory, legal, and compliance matters within an investment management environment. This role will advise internal stakeholders on regulatory requirements, provide hands-on compliance support, and assist with legal matters spanning investment activities, funds, contracts, and corporate initiatives. The ideal candidate is an attorney with significant investment adviser compliance experience and strong knowledge of U.S. securities regulations.
Responsibilities as the Senior Legal and Compliance Counsel:
- Investment Advisory: Provide legal and compliance guidance on investment advisory activities, securities regulations, and related business matters.
- Regulatory Compliance: Interpret evolving regulatory requirements and support policies, procedures, controls, and implementation efforts across investment activities.
- Legal Advisory: Counsel investment, client service, and business teams on legal matters involving funds, contracts, investments, and corporate initiatives.
- Regulatory Oversight: Support regulatory examinations, inquiries, audits, documentation requests, and coordination with external legal advisors.
- Policy & Training: Assist with compliance policies, employee training, regulatory communications, and initiatives designed to strengthen the compliance framework.
- Cross-Functional Support: Partner with legal, compliance, investment, and operational teams on risk management, strategic projects, and broader legal initiatives.
Qualifications for the Senior Legal and Compliance Counsel:
- Education: Juris Doctor (JD) degree from an accredited law school is required.
- Licensure: Active license to practice law in the United States is required.
- Experience: 5–10 years of relevant investment management, securities, legal, or investment adviser compliance experience within a law firm or in-house environment is required.
- Industry Knowledge: Strong knowledge of the Investment Advisers Act and U.S. securities laws is required, with international investment management regulatory exposure preferred.
- Technical Skills: Experience with legal research, regulatory analysis, drafting, compliance documentation, and investment management legal matters is required, with exposure to AI-enabled legal tools preferred.
- Skills & Attributes: Strong legal judgment, analytical ability, drafting, negotiation, communication, business acumen, collaboration, and ability to manage multiple priorities are required.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.