Investment Management Counsel

Responsibilities

• Draft, review, and negotiate investment advisory agreements, trust agreements, and related wealth management documentation.
• Provide legal guidance on fiduciary duties and standards of care, including compliance with SEC and FINRA regulations.
• Advise clients on asset allocation and portfolio diversification strategies in the context of wealth management and investment advisory services.
• Support clients with regulatory compliance under the Investment Advisers Act of 1940 and other applicable securities regulations.
• Aid in the development and implementation of tailored wealth strategies and conduct fiduciary reviews for investment and advisory programs.
• Collaborate with internal legal, compliance, and financial teams, as well as external advisors, trustees, and portfolio managers.
• Provide counsel on investment structures, including unregistered funds and private investment vehicles.
• Manage fiduciary, compliance, and investment-related legal matters for clients in the financial services, private wealth, and credit sectors.
• Maintain awareness of industry developments and regulatory updates impacting investment advisors, fiduciaries, and wealth managers to provide proactive guidance.

Qualifications

• 6+ years of experience advising on investment advisory, wealth management, or fiduciary compliance matters.
• Strong understanding of fiduciary duties and standards of care, including compliance with SEC and FINRA regulations.
• Experience advising clients on asset allocation, portfolio diversification strategies, and wealth management matters.
• Demonstrated experience drafting investment advisory agreements and trust agreements.
• Knowledge of the Investment Advisers Act of 1940 and related regulatory frameworks.
• Experience working with unregistered funds or private investment vehicles.
• Juris Doctor (JD) and licensed to practice law in an applicable jurisdiction.
• Strong communication, negotiation, problem-solving, and technology skills.

Preferred Skills

• Experience with private wealth, private credit, or alternative investment strategies.
• Background advising on complex trust structuring and tailored wealth strategies.
• Experience conducting fiduciary reviews and regulatory risk assessments.
• Familiarity with institutional investment advisory, pension funds, or ERISA-related matters.

About Axiom

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 class alterative legal services.

Diversity and Equal Opportunity

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, gender identity, gender identity status, 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.