Investment Management Counsel

Join Our Team as an Attorney at Axiom

We are seeking an Investment & Wealth Management Counsel to join our Financial Services team. In this role, you will provide expert legal advice and support to our clients on investment advisory, fiduciary obligations, and wealth management matters, helping ensure regulatory compliance and mitigate risk.

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 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.

Qualifications:

• 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 and portfolio diversification strategies in the context of wealth management and investment advisory services.