Axiom
Investment Funds Lawyer
Job Summary
The role involves providing legal support and strategic advice on the formation, operation, and compliance of investment funds, including ETFs, mutual funds, and private funds. The candidate will interpret and apply SEC regulations, advise on regulatory filings, and collaborate with compliance and investment professionals. A JD and active bar membership are required, along with 4 to 15 years of experience in investment funds and securities regulation. The position offers competitive benefits and may require onsite work in NYC.
Required Skills
Benefits
Job Description
About Axiom:
Axiom is transforming the legal services landscape by delivering innovative solutions ranging from individual secondees to fully integrated project teams that combine top-tier talent with cutting-edge technology. Join our innovative talent community and help drive impactful legal solutions to complex problems in various industries.
Job Description:
We are seeking an Investment Funds Lawyer to join our growing team and support client engagements across asset management, financial services, and investment advisory sectors. This role is ideal for a junior to mid-level legal professional (4–15 PQE) with experience advising on mutual funds, ETFs, and private funds. The successful candidate will provide end-to-end legal support for registered funds, including those governed by the Investment Company Act of 1940, and offer strategic counsel on regulatory compliance, marketing practices, and fund formation.
Responsibilities:
- Provide legal advice on the formation, operation, and ongoing compliance of registered investment funds, including ETFs and mutual funds.
- Advise on the Investment Company Act of 1940, including governance, board matters, and disclosure requirements.
- Interpret and apply SEC regulations, including the 2021 SEC Marketing Rule, to client operations and fund communications.
- Support private fund structuring, offering, and filing processes for PE firms, venture capital funds, and institutional asset managers.
- Assist in drafting and reviewing offering documents, shareholder communications, advisory agreements, and fund governance materials.
- Collaborate with in-house counsel, compliance teams, and investment professionals to ensure legal and regulatory alignment across fund products.
- Stay current on developments in asset management regulation and provide proactive legal guidance.
Minimum Qualifications:
- JD or equivalent with active bar membership in good standing.
- 4 to 15 years of experience advising on investment funds, including ETFs, mutual funds, or private funds.
- Demonstrated expertise with the Investment Company Act of 1940 and related SEC regulations.
- Familiarity with fund formation, registration, and regulatory filings.
- Strong written and verbal communication skills and the ability to work independently in a dynamic environment.
- Willingness to work onsite in NYC, if required by the client.
Preferred Skills:
- Experience with leading fund sponsors such as Vanguard, Fidelity, or MassMutual.
- Prior in-house or law firm experience supporting open-ended or registered investment companies.
- Knowledge of the SEC’s 2021 Marketing Rule and its application to fund marketing materials.
- Background in private equity or venture capital fund structuring and filings.
- Ability to manage complex fund workflows and contribute to product development strategy.
Compensation, Benefits & Location:
This role offers a range of competitive compensation starting at $147,000, and a highly competitive benefits package in the alternative legal services marketplace that includes health benefits, 401k, and more. Axiomites also get access to professional development tools and resources and learning and development programs. Axiomites predominately work remotely, with the exception that some clients require on-site presence.
Axiom is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and APAC, we enable legal departments to drive efficiency and growth and meet the demands of today’s business landscape with best in breed alterative legal services.
Axiom is a leader in diversity, inclusion, and social engagement. Diversity is core to our values and we are proud to be an equal opportunity employer. We are proud to be named a best place to work for LGBTQ+ Equality, earning top marks in the 2021 Corporate Equality Index for the second consecutive year. Axiom’s legal department is Mansfield certified and is committed to considering at least 50% diverse candidates for leadership roles and outside counsel representation.
Learn more about working at Axiom.
Equal Opportunity Employer: Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, sex, gender reassignment, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.
Accommodation for Individuals with Disabilities: Upon request and consistent with applicable laws, Axiom will provide reasonable accommodations for individuals with disabilities who require an accommodation to participate in each stage of the recruitment process. To request an accommodation to complete the application form, please contact us at [email protected] and include “Applicant Accommodation” in the subject line.
Axiom respects your privacy. For an explanation of the kind of information we collect about you and how it is used, our full privacy notice is available at https://www.axiomlaw.com/privacy-notice.
Employment with Axiom may be contingent upon successful completion of a background check, providing proof of identity, and possessing the necessary legal authorization to work.
By submitting an application, you acknowledge that all information contained therein, and provided at any part of the application process, is correct and accurate to the best of your knowledge.
Axiom
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