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Investment Management Associate - Junior to Mid-Level
Advocates Legal Recruiting
New York, NY, USA
Dec 12, 2025
INVESTMENT MANAGEMENT ASSOCIATE JUNIOR–MID LEVEL | NYC OR CHICAGO Our AmLaw 100 client is hiring a junior to mid-level Investment Management associate to join a busy, growing practice in New York or Chicago. This group sits at the intersection of private funds, institutional capital and evolving SEC regulation, and is part of a broader platform with more than 1,000 lawyers across 16 offices and strong Chambers rankings in dozens of practice areas nationwide. ROLE SUMMARY You will work as part of a tight-knit cross-office team focused on: • Private fund formation and ongoing operations for a range of managers and strategies • Drafting and negotiating fund documents, side letters and related investment management agreements • Advising on the Investment Advisers Act and Investment Company Act, as well as SEC developments affecting private funds and advisers  • Supporting representations of institutional investors, wealth advisory firms and other sophisticated market...
Investment Management Finance Controller - Director
Morgan Stanley
Baltimore, MD, USA
Dec 13, 2025
We're seeking someone to join our team as a Director in Investment Management (IM) Finance. In the Finance division, we act as a partner to business units around the globe by providing management, review, analysis and advisory services of the Firm's financial and capital resources. This is a Director level position within the Product Controllers job family which s pecializes in ensuring adequacy of controls, profit and loss, and balance sheet reporting, and reconciliations for a segment / business / product area. Includes management reporting across the business segments (ISG, WM & IM) and cross-functional roles with end-to-end product oversight, including Wealth Management products. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world. What you'll do in the role: - Collaborate with a varied group of colleagues in Finance and...
Investment Management Operations Summer Intern
AllianceBernstein
Nashville, TN, USA
Dec 13, 2025
Who You’ll Work With: Your internship will require you to learn a new or expand an existing skill set and knowledge base, and/or complete a project that is critical to the success of the group, department or firm. During the internship, you will be matched with a mentor who will help with your assimilation into the firm and provide career advice. Upon successful completion of your internship, you will have the opportunity to present to a committee of senior Operations & Technology executives. Operations delivers a wide range of middle and back office support to all of AllianceBernstein’s investment services (equities, fixed income, alternative investments) as well as distribution channels (institutional clients, individuals and private clients). You will work with the front office and portfolio management as well with various custodian banks and vendors, and provide regional support in the Americas, Europe and Asia-Pacific. As an Intern, you will be placed in one of...
Compliance Officer
Marsh McLennan
New York, NY, USA
Dec 13, 2025
Company: MMC Corporate Description: Mercer is looking to hire an experienced Compliance Officer to join our team in one of the following locations: New York City, Boston, St. Louis, King of Prussia, or Washington D.C. What can you expect? The team at Marsh McLennan will prepare you for a successful career and provide you the opportunity to work with well-known investment advisers across the globe. You'll work on a growing team of high-performing colleagues committed to teamwork and partnership. You will be responsible for providing advisory compliance guidance regarding commercial activities that encompass both a broker-dealer and registered investment adviser; reviewing institutional marketing materials; providing training for business teams; coordinating testing and communication of testing results; and collaborating to implement enhancements across the commercial compliance program. You will have the opportunity to serve as subject matter expert on a...
Investment Management Associate - Junior to Mid-Level
Advocates Legal Recruiting
Berwyn, IL, USA
Dec 12, 2025
INVESTMENT MANAGEMENT ASSOCIATE JUNIOR–MID LEVEL | NYC OR CHICAGO Our AmLaw 100 client is hiring a junior to mid-level Investment Management associate to join a busy, growing practice in New York or Chicago. This group sits at the intersection of private funds, institutional capital and evolving SEC regulation, and is part of a broader platform with more than 1,000 lawyers across 16 offices and strong Chambers rankings in dozens of practice areas nationwide. ROLE SUMMARY You will work as part of a tight-knit cross-office team focused on: • Private fund formation and ongoing operations for a range of managers and strategies • Drafting and negotiating fund documents, side letters and related investment management agreements • Advising on the Investment Advisers Act and Investment Company Act, as well as SEC developments affecting private funds and advisers  • Supporting representations of institutional investors, wealth advisory firms and other sophisticated market...
Investment Management Operations Associate
AllianceBernstein
Nashville, TN, USA
Dec 12, 2025
What You’ll Do We established the Technology & Operations Associate Program (TOP) in 2000 to develop our next generation of leaders. During this rotational program, Associates experience up to four challenging six-month rotations in a specific track or career path, in this case, Investment Management Operations, before joining a permanent team. Associates will have the unique opportunity to rotate through many areas of the business gaining exposure and visibility across the firm, while benefiting from formalized training and mentorship. Each rotation will require you to learn a new skill or expand an existing one. Each associate will complete a project that is critical to the success of the team, department and firm. During the program, you will be matched with two mentors who will help with your transition into the firm and provide career advice. Upon successful completion of each rotation, you will have the opportunity to present to a committee of senior leaders in...
BRME Incident Issue Program Lead, AVP - State Street Investment Management.
State Street
Boston, MA, USA
Dec 12, 2025
Job Description Why this role is important to us The Business Risk Management Executive (BRME) team is a first line function that partners with State Street Investment Management (State Street IM) business teams to properly identify, assess and manage operational and regulatory risk. The Incident & Issue Program Lead will play an important role on this team, responsible for managing State Street IM reporting and handling of incidents and any identified gap(s) in the control environment, to ensure a clear understanding of themes and timely remediation.  The Program Lead will work closely with business leaders, ERM, and Compliance.  Seeking professionals with 5 years of experience in operational risk, compliance, audit, or managing risk in a direct business role supporting an asset manager. Why this role is important to us The team you will be joining is a part of State Street Investment Management, one of the largest asset managers in the world. We partner with many of...
Chief Compliance Officer
Edelman Financial Engines
USA
Dec 11, 2025
    Chief Compliance Officer (Remote)   At Edelman Financial Engines (EFE) , our purpose is to guide people with the financial advice they need to thrive.     We believe that every dollar saved represents a lifetime of hard work and aspirations, and every dollar invested has job to do for our clients. That’s why we are committed to managing our clients’ investments by truly understanding them as people first and then delivering advice, strategies and solutions to help them feel confident about the plans they are making, whether for today, tomorrow, or in the great unknown future. Our goal is to build long-term relationships based on respect, integrity, and a belief that our responsibility is to help people make smart investments decisions in every stage of their lives.   Our culture is grounded i n our CORE values: Client First, One Team, Respectful Candor, and Endless Curiosity. These values guide everything we do, for our clients and each...
Surveillance – Trade Surveillance Compliance Officer - Associate
Deutsche Bank
Jacksonville, FL, USA
Dec 11, 2025
Job Description: Job Title Surveillance – Trade Surveillance Compliance Officer Corporate Title Associate Location Jacksonville, FL    Overview Compliance is seeking an Analyst within the Trade Surveillance team to monitor and investigate trading related activities. The primary function of the role is detecting, monitoring, examining and investigating trading activities of Deutsche Bank Investment Bank (IB) to identify possible violations of market abuse and of the Firm’s Trading Policies. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups support an inclusive workplace for everyone and promote community engagement Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family...
Vice President - Investment Management Operations
Morgan Stanley
Boston, MA, USA
Dec 11, 2025
We’re seeking someone to join our team as a Vice President in Investment Management Operations to play an integral role servicing clients and facilitating client events including, on-boarding of new business, account transitions and client terminations. The individual will work closely with the outsourced Investment Manager Solutions (IMS) team to ensure completion of all client deliverables. Morgan Stanley's Investment Management's product range is continually evolving into new product and strategy areas, demanding ever-changing infrastructure and solutions. The Vice President will be required to facilitate discussion with all the impacted parties to ensure that the appropriate support models are in place. The Transition team focusses not only on institutional segregated business but also on proprietary fund launches or closures. Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and...
AVP, Compliance Officer
Axos Bank
San Diego, CA, USA
Dec 10, 2025
Axos Bank Target Range: $68,640.00/Yr. - $82,000.00/Yr. Actual starting pay will vary based on factors including, but not limited to, geographic location, experience, skills, specialty, and education. Eligible for an Annual Discretionary Cash Bonus Target: 10% Eligible for an Annual Discretionary Restricted Stock Units Bonus Target: 10% These discretionary target bonuses may be awarded semi-annually based upon your achievement of performance goals and targets. About This Job As the AVP, Compliance Officer, you will play a pivotal role in leading and executing compliance risk assessments, quality assurance reviews, and compliance monitoring processes across high-risk activities. You will support business units in navigating regulatory changes, marketing compliance, and company-wide training initiatives. This role is essential to maintaining the bank’s integrity and enabling its growth in a highly regulated environment. Responsibilities: Develop,...
Vice President, Compliance Officer
PIMCO
Newport Beach, CA, USA
Dec 09, 2025
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking.  We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Location: Newport Beach, CA (Corporate...
Investment Management Attorney
The Hartford
Wayne, PA, USA
Dec 09, 2025
Counsel - 87LA4E We’re determined to make a difference and are proud to be an insurance company that goes well beyond coverages and policies. Working here means having every opportunity to achieve your goals – and to help others accomplish theirs, too. Join our team as we help shape the future.              “Hartford Funds” is the marketing name for Hartford Funds Management Group, Inc. and its subsidiaries, which include two registered investment advisers, a broker-dealer, and a transfer agent.  Hartford Funds is the sponsor of the Hartford Funds Family of Funds (the “Funds”), which is a suite of mutual funds, exchange-traded funds, and non-exchange listed closed-end funds.  Hartford Funds also manages 529 college savings plans and separately managed account model portfolios.  As of November 30, 2025, Hartford Funds had approximately $155 billion in assets under management. Opportunity :  Hartford Funds is seeking a mid-level investment management attorney...
Chief Investment Management Officer XRP
BluZinc
Dallas, TX, USA
Dec 08, 2025
Remote based USA. Are you a Chief Investment Banking Officer with deep expertise in quantitative crypto trading, XRP strategies, and DeFi markets,  ready to help scale a next-generation digital asset firm already achieving $100B , to achieve over $220B AUM within the next few years?  Our uSA based Global Client is a fast-growth cryptocurrency investment and trading company seeking a visionary CIO who has led teams of 5–20 quants and data scientists and managed $20B portfolios across crypto or institutional markets.  If you come from a $100B-$200B portfolio, so much the better and this client has a strategy to become larger. You’ll define and execute trading frameworks for XRP-based DeFi investment strategies, driving alpha through algorithmic design, risk optimization, and automation — blending Wall Street precision with Web3 speed. You'll Bring: 10 years in quantitative trading or portfolio leadership in the USA (mandatory)  Proven record managing a team with...
Sales & Relationship Management, Investment Management Community
OSTTRA
New York, NY, USA
Dec 07, 2025
About the Role: Sales & Relationship Management, Investment Management Community Role Summary: As a Sales and Relationship Management Representative, you will play a key role in driving the success of client relationships within the Investment Management Community. You will oversee the entire sales lifecycle, from identifying and pursuing new business opportunities to analysing data and trends, conducting lead prospecting, and managing existing client relationships to ensure satisfaction and retention.   Your expertise in effectively presenting the OSTTRA value proposition will be essential, whether introducing new services or reinforcing the benefits of existing ones. You will also negotiate commercial terms with key decision-makers to maximise revenue potential. Collaborating with an experienced sales team and product specialists, you will engage with various departments across OSTTRA to deliver tailored solutions that meet client needs and foster long-term...
General Counsel and Chief Compliance Officer
Seven Seas Water Group
Tampa, FL, USA
Dec 06, 2025
Description Seven Seas Water Group Seven Seas Water Group ( www.sevenseaswater.com ) is a portfolio company owned by investment funds managed by EQT. Headquartered in Tampa, with operations across the U.S., Caribbean, and Latin America, Seven Seas Water Group (SSWG) delivers annually over 20 billion gallons of water to industrial, commercial, governmental, municipal, and hospitality customers. SSWG designs, builds, owns, and operates, delivers new facilities, or acquires and upgrades existing facilities, with the goal of optimizing project risk transfer between the public and private sectors. We have more than 200 water and wastewater treatment plants in operations throughout the United States, Caribbean, and Latin America. With an outstanding reputation for decentralized water and wastewater treatment solutions, the SSWG “Water-as-a-Service®” approach seeks to help solve global water and wastewater infrastructure challenges. SSWG operates two businesses within the water...
Index & Strategic Partnerships, State Street Investment Management, Vice President II
State Street
Boston, MA, USA
Dec 05, 2025
Why this role is important to us Team Overview   State Street Investment Management is one of the world’s largest and most respected asset managers, entrusted with over $5 trillion in assets. For more than 30 years, we’ve helped shape the future of investing through a disciplined, research-driven approach and a powerful global platform that spans every major asset class, investment style, and market segment across both active and index strategies. As the investment management arm of State Street Corporation, a global financial services leader, we serve many of the world’s most sophisticated investors Our Index & Strategic Partnerships team sits within our Innovation Hub at the intersection of innovation, influence, and execution. We are responsible for managing and expanding State Street’s most critical B2B relationships - those that drive growth, unlock new markets, and shape the future of our business. These partnerships are global in scope, multi-dimensional in...
Broker Dealer Regulatory Governance Advisory Compliance Officer
Sumitomo Mitsui Banking Corporation
New York, NY, USA
Dec 05, 2025
 SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.   In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s...
Compliance Officer - Brokerage - Securities Admin
WesBanco Bank, Inc.
Bowie, MD, USA
Dec 05, 2025
Summary      Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization’s level of compliance with applicable laws and regulations .       Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards .  In addition, expected to make recommendations to management for closing gaps identified during the reviews .           The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required .         Essential Function   Banking is a highly regulated industry and you will be expected to...
SVP, Senior Compliance Officer (Newport Beach)
PIMCO
Newport Beach, CA, USA
Dec 03, 2025
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking.  We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Overview Join PIMCO’s Compliance team...
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Investment Management Associate - Junior to Mid-Level

Advocates Legal Recruiting
Apply Now
New York, New York, United States
Dec 12, 2025
Accounting Legal

INVESTMENT MANAGEMENT ASSOCIATE

JUNIOR–MID LEVEL | NYC OR CHICAGO

Our AmLaw 100 client is hiring a junior to mid-level Investment Management associate to join a busy, growing practice in New York or Chicago. This group sits at the intersection of private funds, institutional capital and evolving SEC regulation, and is part of a broader platform with more than 1,000 lawyers across 16 offices and strong Chambers rankings in dozens of practice areas nationwide.

ROLE SUMMARY
You will work as part of a tight-knit cross-office team focused on:
• Private fund formation and ongoing operations for a range of managers and strategies
• Drafting and negotiating fund documents, side letters and related investment management agreements
• Advising on the Investment Advisers Act and Investment Company Act, as well as SEC developments affecting private funds and advisers 
• Supporting representations of institutional investors, wealth advisory firms and other sophisticated market participants

You will have regular partner contact, real responsibility on live matters and the chance to see both the fund sponsor and investor sides of the table.

CANDIDATE PROFILE
• JD class years: 2021, 2022, 2023 or 2024
• At least 1 year of experience in investment management transactional work, including private fund formation
• Familiarity with the Advisers Act and the 1940 Act; comfort working in a rules-heavy, detail-driven practice
• Experience representing institutional investors or wealth advisory firms is a plus, not a requirement
• Licensed in, or eligible to become licensed in, New York or Illinois
• You are looking for a platform where you can grow into a true subject-matter practitioner rather than just run checklists

WHY THIS ROLE
• High-caliber platform: Our client regularly advises US, UK, EU and other international funds, managers and institutional investors on fund formation, tax structuring, ESG-focused vehicles and cross-border regulatory issues.
• Market credibility: Chambers USA names this firm a Leading Firm in 70 practice areas, with over 120 ranked lawyers across the country.
• Training that actually exists: Associates have access to 200 in-house training programs each year, including targeted leadership programs and retreats, plus dedicated career development counselors and formal mentoring across seniority levels.
• Inclusive culture with real investment in advancement: The firm partners with national bar organizations to support retention and promotion of diverse attorneys within AmLaw 200 firms.
• Compensation: Expected base salary range in New York and Illinois is $225,000 to $310,000, with eligibility for an hours-based bonus.

If you are a junior or mid-level associate who wants hands-on private funds work, real client exposure and a strong national platform behind you, this role is worth a serious look.

CONFIDENTIAL INQUIRIES
If your background fits the above and you want to hear more, please contact me directly or apply here. All inquiries will be treated as strictly confidential.

Click below to SCHEDULE A CALL or use the "I'm Interested" button to send your information confidentially:


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