Senior Associate, Legal Counsel
Larson Maddox · San Francisco County, CA · 2 days ago
HybridLegalFull-time
Key Responsibilities
- Provide legal advice on matters under the Investment Advisers Act of 1940, including advertising/marketing rules, fiduciary duty considerations, disclosures, and conflicts of interest.
- Support the firm's securities law needs under the '33 Act and '34 Act, including offering and disclosure considerations, reporting obligations, and investor communications.
- Review, draft, and negotiate a range of agreements and legal documentation, which may include: Advisory agreements, client onboarding materials, side letters, NDAs, and vendor contracts, Policies, procedures, and disclosures related to advisory operations and regulatory requirements.
- Partner with the Compliance function on regulatory initiatives, examinations, and responses to regulatory inquiries (e.g., drafting narratives, coordinating document production, and remediation planning).
- Advise on marketing and communications review (e.g., pitch decks, website content, factsheets) to ensure consistency with applicable securities and investment advisory regulations.
- Help develop and enhance internal governance, training, and legal/compliance controls across the advisory business.
- Monitor regulatory developments and provide practical guidance to internal stakeholders.
Qualifications
- J.D. from an accredited law school; active bar membership in at least one U.S. jurisdiction (CA preferred, not required).
- Minimum 4+ years of legal experience with a strong focus on: Investment Advisers Act / Advisers Act of 1940 and related SEC rules Securities Act of 1933 and Securities Exchange Act of 1934 Experience gained at a law firm and/or in-house at an investment manager, adviser, broker-dealer, or financial services firm.
- Strong drafting and issue-spotting skills; ability to translate complex regulatory concepts into clear, actionable guidance.
- Comfort working cross-functionally in a fast-paced environment with multiple stakeholders.
- High integrity, sound judgment, and a collaborative, solutions-oriented approach.