Investment Management Counsel

🕒 April 1

🇺🇸 United States – Remote

💵 $104.5k - $325k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💸 Financial Planning and Analysis (FP&A)

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Axiom

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2000

☁️ SaaS

🤝 B2B

Legal • SaaS • B2B

Axiom is a company that provides legal services and law-related technology, simplifying the process of managing legal accounts for users. Their focus on accessibility and user-friendly processes highlights their commitment to modernizing the legal experience.

📋 Description

• 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. • Assist 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. • Monitor industry developments and regulatory updates impacting investment advisors, fiduciaries, and wealth managers to provide proactive guidance.

🎯 Requirements

• 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.

🏖️ Benefits

• health, dental, and vision insurance • paid holidays and PTO • flexible work arrangements • professional development opportunities and tools