Investment Management & Securities Associate Attorney

Since 1933, Stark & Stark has developed innovative legal solutions to meet our client's needs. More than 100 attorneys, over 30 practice areas, and a philosophy of putting the law to work for our clients are the basis for building and maintaining our practice.

Stark & Stark's Hamilton office is seeking applications from Investment management and Securities attorneys with exceptional credentials and a genuine passion for the law.

Responsibilities

• Monitor, identify, and advise clients on regulatory changes.
• Handle a wide range of matters related to investment adviser and broker-dealer regulatory and compliance topics.
• Provide compliance and regulatory support and guidance to a large and diverse investment advisory client base.
• Provide guidance on a full range of issues associated with investment advisers, hedge funds, and broker-dealers including regulatory/compliance matters, investment vehicles and industry best practices.
• Draft review and or revise advisory agreements and provide support on practical business matters.

Requirements:

Law Degree required; Prior role as a law firm associate and/or with in-house compliance or legal department; work experience focused on RIA and financial services business.

• Be a member of the New Jersey Bar.
• 3+ years of related legal experience.
• Possess a working knowledge of the laws, rules, regulations, and market practice governing registered investment advisers, broker-dealers, hedge funds, private equity, and alternative assets.
• Provide prompt and professional service.
• Ability to produce outstanding written work.
• Possess the experience and confidence to interact professionally with senior management, clients, and clients’ representatives.
• Demonstrated track record of effectively solving problems to a successful resolution and have a willingness and ability to master new laws and regulations as they develop.
• Must have familiarity with laws and regulations governing the operation of UCITS funds; the Securities Exchange Act; and rules and regulation governing the operation of US broker-dealers, including federal and state securities laws and FINRA regulations.
• Must be skilled in negotiation and drafting skills.
• Possess superior verbal and written communication skills.
• Demonstrate strong integrity and professionalism.
• Ability to multi-task.
• Exercise judgment and the ability to work autonomously and as an effective member of a team; and intellectual curiosity and the ability to problem solve independently.