What are the responsibilities and job description for the Regulatory Litigation Counsel position at Long Ridge Partners?
Our client is an established asset management firm with an above-market track record and an amazing Legal & Compliance team. The Counsel, Attorney would contribute to and/or be responsible for the following areas and report directly to the General Counsel. You will have access to a cutting-edge work environment and the latest AI resources.
Responsibilities:
- Advising on the potential receipt of MNPI, the firm’s controls on both the public and private side, structuring new engagements with such considerations in mind, and other securities law issues.
- Diligencing research vendors and other research sources, advising on custom research and webscraping projects, and negotiating research contracts
- Collaborating on the firm’s AI-focused capabilities and onboarding of AI tools
- Implement and contribute to program workflows, including testing, recordkeeping, surveillance, policies and procedures, and regulatory examination matters
- Help with litigation management and pre-litigation/investigations matters.
- Handle day-to-day general legal matters.
Requirements:
- 4-5 years (JD 2021/2020 /-) of professional experience in BigLaw (V10 preferred) or at a financial services firm or as an AUSA or attorneys at the SEC or FINRA
- JD from a top-tier law school, high credentials required.
- Experience with Securities Litigation, Securities Laws ('33 and '34 Act) and regulations, familiarity with the Investment Advisers Act, and investment management clients.
- Experience dealing with the DOJ/SEC/FINRA will be a plus.
- Desire to be included in a business environment, the ability to be a self-starter, and the willingness to learn.
- Exceptional writing and interpersonal/communication skills. Strong analytical and legal skills.
Full Compensation includes a base, a cash bonus, and the opportunity to have LTI. Excellent perks and benefits.
Salary : $250,000 - $300,000