Jan 15, 2024

Counsel / Assistant General Counsel

  • Investment Adviser Association
  • Hybrid (Washington D.C., DC, USA)
Full time Legal

Job Description

The Investment Adviser Association (IAA), the leading association dedicated to advancing the interests of investment advisers, is seeking a full-time Counsel/Assistant General Counsel.

Founded in 1937 as the Investment Counsel Association of America, the Investment Adviser Association is a not-for-profit organization that has exclusively represented the interests of fiduciary investment adviser firms for more than eight decades — including playing a major role in the enactment of the Investment Advisers Act of 1940, the federal law regulating our industry.

IAA members range from global asset managers to the medium- and small-sized firms that make up the majority of our industry. Together, the IAA’s members manage more than $35 trillion in assets for a wide variety of clients, including individuals, trusts, investment companies, private funds, pension plans, state and local governments, endowments, foundations, and corporations.

Position Summary

This position is a member of the IAA Legal Team with responsibility for developing and maintaining regulatory and compliance resources, engaging with and supporting IAA members, advocating on regulatory issues affecting fiduciary investment advisers, representing the IAA at conferences and other events, and assisting with IAA contract review and vendor management.

Detailed Responsibilities

  • Primary responsibility for developing and maintaining compliance resources to assist members with their implementation of and compliance with laws and regulations affecting fiduciary investment advisers
  • Lead member committees and working groups related to regulatory compliance
  • Communicate with members, associate members, and the investment adviser community on legal, regulatory, and compliance issues, orally and through written communications and publications
  • Collaborate with other IAA attorneys and members to develop written and oral advocacy positions
  • Assist with the IAA’s management of its outside service providers
  • Organize and speak at educational events, including conferences, compliance workshops, and webinars
  • Other projects and tasks as needed

Requirements

  • Law degree and admitted to and in good standing with at least one bar
  • At least 5 years of legal and/or compliance experience with the Investment Advisers Act of 1940
  • Recent in-house legal and/or compliance experience at an SEC-registered investment adviser, compliance consultant, or regulatory agency, or comparable relevant hands-on experience, strongly preferred
  • Significant substantive expertise in other federal securities laws and regulations that apply to investment advisers a plus
  • Excellent analytical, written, oral, and presentation skills
  • Current or past compliance certifications or designations related to investment adviser compliance (e.g., FINRA Series 65, IACCP, etc.) a plus
  • Strong ethical standards and good judgment
  • Strong desire to serve the IAA’s mission and the needs of its members

More Details

The salary is negotiable with room for professional growth. Outstanding benefits package offered. Salary and benefits will be discussed on initial interview. The IAA currently offers a flexible, hybrid work arrangement with the office located on Connecticut Avenue NW in Washington, DC. This position will be considered hybrid with time both in the office and remote. The IAA is a great place to work, with a strong collegial environment and historical employee longevity. Consider becoming an integral part of the IAA team!

Applications will be considered on a rolling basis with a deadline of February 29. No telephone calls please. EEO. No recruiting agencies.  For this particular position, we are requesting a short, self-written cover letter specifically addressing how you meet the requirements of this role.    


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