Associate - Investment Funds Regulatory

New York City, Remote. Posted a month ago

The role

You will advise on the formation, registration, compliance, and governance of registered investment companies, investment advisers, and independent directors. You will use AI agents and tools to perform regulatory filings, marketing rule reviews, and SEC examination support.

What you will do

Leverage AI agents to generate, compare, and redline Form ADV registrations and other regulatory filings.
Use AI tools to review marketing materials, pitch decks, and performance presentations against the Marketing Rule.
Advise on track record and portability questions.
Partner with private fund formation and tax teams on live fund launches.
Advise on the regulatory implications of adviser M&A, spin-outs, etc.
Represent advisers through SEC examinations, document requests, and follow-up.
Partner with clients to demonstrate how AI-assisted workflows improve accuracy, transparency, and turnaround.
Work closely with technology teams to make regulatory workflows more efficient using AI.

Required qualifications

Juris Doctor (JD) or equivalent
Admission in at least one U.S. jurisdiction
4 to 6 years of investment funds regulatory experience
Hands-on experience with Marketing Rule reviews
Hands-on experience with SEC examinations
Strong drafting and communication skills
Meticulous attention to detail
Interest in applying technology to enhance traditional deal workflows

Nice to have

AI Fluency

Benefits

401(k) with employer match
health, dental, vision coverage
unlimited paid time off
free lunch in office daily
employee referral bonus program

About the company

Norm builds AI-native professional services firms and the technology that powers them. Norm Law, LLP is an affiliated AI-native law firm.