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Provides legal counsel to an asset management business on regulatory compliance, trading and advisory agreements, investment products, fund launches, and cross-border requirements. Advises on SEC, CFTC, FINRA, Dodd-Frank, and related regulations; drafts and negotiates financial documentation; maintains legal templates; and partners with trading, compliance, risk, operations, product, clients, regulators, and outside counsel.

Conduct compliance testing and monitoring for global asset management business functions. Research and interpret financial regulations, develop and implement policies, advise business partners, analyze practices and data, identify compliance gaps, maintain issue records, and support regulatory oversight across investment advisers, investment companies, transfer agents, and broker-dealers.

In this role, you will build client relationships, provide marketing support, maintain communication with sales staff, and assist in expanding fund business.

As an Internal Advisor Consultant, you will build and maintain client relationships, assist in investment selection, and collaborate with senior salespersons to meet business objectives.