In house role - San Jose - TBG | The Bachrach Group

    TBG | The Bachrach Group
    TBG | The Bachrach Group San Jose

    1 day ago

    Accounting / Finance
    Description

    About the Company

    Global Investment firm is seeking an attorney to join their Legal and Compliance team.

    About the Role

    This role will advise investment and client service teams on various investment advisory matters, support legal and compliance functions, and assist covering a diverse array of regulatory, corporate, fund, contract and investment legal matters across various strategies and business lines. This role will also work on various compliance matters related to the Investment Advisers Act of 1940.

    Responsibilities

    • The ideal candidate will have strong knowledge of the Investment Advisors Act and relevant securities laws.
    • Will provide counsel on compliance with U.S. securities and investment advisory laws, including matters arising under the Investment Advisers Act of 1940.
    • Support securities law matters in international jurisdictions (UK and Singapore) as needed.
    • Advise internal stakeholders on securities and investment advisory-related matters, including compliance with federal and state securities laws and policy implementation.

    Qualifications

    • J.D. qualified to practice law.
    • 4+ years of relevant experience at a leading law firm and/or in-house legal department.

    Required Skills

    • Expertise in the Securities Act of 1933, Securities Exchange Act of 1934 and/or the Investment Advisors Act of 1940.
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