Description Our client, a prominent law firm, is seeking a Regulatory Counel to join their firm. This role is responsible for providing legal counsel and compliance consulting to the firm's registered investment adviser (RIA) clients with their regulatory disclosures, client agreements, regulatory examinations, and other related issues. Our remote and distributed workplace allows for a flexible work location.

Responsibilities

• Consult with clients on their investment adviser regulatory issues.

• Assist clients in managing their regulatory compliance programs.

• Draft investment adviser regulatory disclosures (Form ADV) and perform related filings via IARD and EDGAR systems.

• Draft legal agreements for investment advisers including client agreements, sub-advisor agreements, solicitor/promoter agreements, etc.

• Draft policies, procedures, and policy notices for investment advisers as components of their compliance program.

• Support investment advisers during and following their regulatory exams.

• Review advertising and marketing materials for compliance with applicable rules and regulations.

• Conduct research on state and federal rules and regulations affecting investment advisers.

• Formulate compliance solutions that will be assigned and distributed to investment advisers based upon pre-determined factors.

• Prepare educational content on investment adviser compliance issues and developments.

• Attain a sound understanding of our systems, processes, and business structure.

Qualifications

• 5+ years experience working with investment advisers on compliance and regulatory issues.

• Juris Doctor and appropriate bar admission(s).

• Advanced proficiency with technology, office, and cloud-based applications.

• Strong attention to detail, organizational skills, and ability to prioritize numerous workstreams.

• Ability to work both independently but also collaboratively as a cohesive member of a high-performing team. Requirements • Must possess a valid license to practice law in the jurisdiction of employment

• Minimum of 5 years of law practice with emphasis on regulatory compliance and corporate law

• Proficiency in legal regulatory matters is essential

• Demonstrated knowledge of the Investment Advisers Act is required

• Excellent verbal and written communication skills

• Demonstrated ability to handle multiple tasks simultaneously and meet tight deadlines

• Strong analytical and problem-solving skills

• Ability to work independently as well as collaboratively in a team environment

• High degree of professional ethics and integrity

• Proficiency in legal research and drafting legal documents

• Proven track record in negotiating and influencing skills

• Well versed in current industry trends and legal developments.

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

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All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

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