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
• Support clients with regulatory compliance under the Investment Advisers Act of 1940
• Assist in the development and implementation of tailored wealth strategies and conduct fiduciary reviews
• Collaborate with internal legal, compliance, and financial teams and external advisors
• Provide counsel on investment structures, including unregistered funds and private investment vehicles
• Monitor industry developments and regulatory updates impacting investment advisors and wealth managers

Requirements

• 6+ years of experience advising on investment advisory, wealth management, or fiduciary compliance
• Strong understanding of SEC and FINRA regulations
• Experience with asset allocation and portfolio diversification strategies
• Demonstrated experience drafting investment advisory and trust agreements
• Knowledge of the Investment Advisers Act of 1940
• Experience working with unregistered funds or private investment vehicles
• Juris Doctor (JD) and licensed to practice law

Preferred Qualifications

• Experience with private wealth, private credit, or alternative investment strategies
• Background in 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 the Company

Axiom is the global leader in high-caliber, on-demand legal talent, serving more than 1,500 legal departments globally with a blend of world-class legal talent and advanced AI tools.