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Investment Funds Regulatory Associate

Req Number: Y3UACX
Location: NY/Manhattan, NY or Washington DC
Posted: 5/23/2025
Category: Technology : Professional Services
Job Type: Permanent
Compensation: USD 310,000.00 - 390,000.00 Yearly - Base salary: $310K-$390K, based on JD class year, plus discretionary bonus and benefits Possibility of a discretionary bonus –depending on candidate circumstances and position

Asset Management Regulatory Funds Associate, 3+ years, NY or DC

Korn Ferry is proud to partner with one of the world’s leading Am Law firms in its search for an Investment Funds Regulatory Associate. This is an exciting lateral opportunity to join a premier practice group that includes former senior officials from the SEC’s Division of Investment Management.

If you're looking to deepen your regulatory expertise and work alongside some of the foremost legal minds in the field, this is a career-defining opportunity.

Our client’s investment funds team is recognized for helping hundreds of asset managers, investment advisers, and registered funds successfully navigate the evolving regulatory landscape.

As part of this distinguished team, you’ll advise a diverse range of clients on complex regulatory matters, including SEC registrations and examinations. The role involves sophisticated work on Investment Company Act issues, including regulatory compliance, status determinations, and fund structuring strategies.

The ideal candidate will have a minimum of 3 years of experience advising both asset managers and sponsors on a range of regulatory and compliance issues.

Responsibilities:
As an Investment Funds Regulatory Associate, you will provide strategic counsel to a wide range of clients across the asset management industry — including global investment firms, prominent middle-market managers, emerging sponsors, family offices, and other financial institutions. Your responsibilities will include:

  • Advising on investment adviser regulatory and compliance matters, including ongoing obligations under the Investment Advisers Act of 1940.
  • Representing clients in connection with SEC examinations, investigations, and enforcement proceedings.
  • Counseling on investment company regulatory issues, including structuring and compliance under the Investment Company Act of 1940.
  • Supporting the formation, structuring, and operation of private funds, including hedge funds, private equity funds, and venture capital funds.
  • Providing regulatory support in connection with asset management-related mergers and acquisitions and other strategic transactions.

Qualifications:
  • Minimum of 3 years of relevant experience in asset management regulatory matters, ideally within a top-tier law firm, regulatory agency, or in-house legal department.
  • Strong working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, with demonstrated experience advising on compliance and structuring issues.
  • Proven ability to counsel clients through SEC examinations, investigations, and enforcement actions.
  • Excellent legal research, writing, and communication skills.
  • Experience advising investment advisers, registered investment companies, private funds, and other asset managers is strongly preferred.
  • Strong academic credentials and admission to the bar in the relevant jurisdiction.
  • Admitted to the NY State Bar and/or the DC Bar.

Compensation:
Base salary: $310K-$390K, based on JD class year, plus discretionary bonus and benefits
Possibility of a discretionary bonus –depending on candidate circumstances and position

Geo: Manhattan NY 10020 or DC 20004
Posting: 510735963 

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Korn Ferry shall provide equal employment opportunity to all qualified candidates, and will refer candidates without regard to race, color, religion, national origin, sex, age, disability, veteran status or any other legally protected basis.

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