Investment Advisor

Legal & Compliance Associate, New York, NY

Legal & Compliance Associate (New York, NY):  Our client, a growing advisory and banking business is looking a junior-level attorney to support the broker-dealer compliance program for the investment banking and financial advisory business. This position will be focused on administering the compliance program, but will also entail some legal work as needed.  Admission to the New York Bar is required. 


Key points: 

  • This is a unique opportunity for a junior lawyer to gain exposure to all aspects of a robust compliance program, while also gaining legal responsibilities 
  • Firm is very stable and continuing to grow (adding this position due to their continued growth) 
  • Firm offers a great quality of life 
  • Position offers exposure to the General Counsel and senior management across multiple areas  


  • Participate in drafting and amending compliance policies and procedures; assist in preparing various regulatory filings
  • Prepare and administer securities trading policies, conflict checks and review account statements
  • Update/maintain compliance manuals; monitor updates in regulatory requirements 
  • Employee trainings 
  • Coordinate and conduct periodic internal audits, risk assessments and annual compliance reviews 
  • Supervise the AML program 
  • Provide litigation discovery support, including responses to document production requests 
  • General corporate housekeeping matters 
  • Review confidentiality agreements and vendor agreements
  • Perform ad-hoc legal research as needed


  • 1-2 years of relevant experience as a junior attorney, JD is required; proficient in Microsoft Office (Excel, Word, Outlook) - must be a member of the New York State Bar 
  • Strong communication skills and time management skills; ability to communicate effectively with all levels of management
  • Must be able meet multiple deadlines in a high pressure environment with limited supervision; team oriented mindset as this person will be dealing with highly confidential business maters

Job Reference #1443

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