SEC Marketing Compliance Counsel

SEC Marketing Compliance Counsel at Axiom 🌟

Join Axiom, the global leader in flexible legal services, as we seek a dedicated Regulatory & Compliance Counsel for our Investment Advisory team! 📈 This vital role offers the chance to work closely with top-tier clients, providing strategic legal guidance on marketing and investor communications compliance within the private equity and investment management sector.

Key Responsibilities:

• Review and analyze investor disclosures, marketing materials, and fund communications for SEC regulatory compliance.
• Evaluate marketing content for alignment with SEC regulations, including the Investment Advisers Act and the SEC’s Marketing Rule (2021).
• Offer legal counsel on SEC and 40 Act compliance, specifically focused on private equity and fund marketing strategies.
• Collaborate with compliance teams, investment professionals, and external advisors to navigate shifting regulatory landscapes.
• Develop policies and best practices for marketing reviews, fundraising compliance, and investor communications.

Qualifications:

• Extensive knowledge of SEC compliance and financial regulations related to marketing and advertising.
• Experience in investment management, private equity, or a relevant financial sector with a compliance focus.
• In-depth understanding of the Investment Advisers Act, the 40 Act, and similar securities laws.
• Strong ability to dissect complex regulatory frameworks and apply them to marketing and investor communications.
• Excellent communication skills, capable of engaging senior stakeholders.
• JD degree and active U.S. bar admission.

Preferred Skills:

• Advising private equity firms, investment funds, or asset managers.
• Strong analytical skills to interpret regulatory changes and their implications.
• Experience at a top-tier law firm, regulatory agency, or financial institution is a plus.

Compensation & Benefits:
Enjoy a competitive salary range of $150,000 - $200,000, along with a comprehensive benefits package including health coverage, 401K, and access to professional development resources. 💼 Most Axiomites work remotely, with occasional on-site client requirements.

Why Axiom?
At Axiom, diversity and inclusion are at our core. We are an equal opportunity employer committed to fostering a diverse workplace and are proud to be recognized for LGBTQ+ equality. 🏳️‍🌈 Join us in redefining the legal landscape while making a significant impact in various industries worldwide. 💪

If you’re ready to take the next step in your career and thrive in a remote and supportive environment, apply now and join our innovative team! 🌍✨