Associate - Investment Funds Regulatory

The role

You will advise on formation, registration, compliance, and governance of registered investment companies, investment advisers and independent directors. You will use AI agents 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 the 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

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 Law is an AI-native law firm built for global institutions. It combines legal talent with purpose-built AI agents to deliver legal services.