SEC Marketing Compliance Counsel

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Requirements:

• Experience in SEC compliance and regulatory matters, particularly under the Marketing Rule (2021) and post-2022 amendments.
• Prior experience working in a fund, investment firm, or private equity environment with direct exposure to SEC marketing compliance.
• Strong knowledge of investment adviser regulations under the 40 Act and other relevant securities laws.
• Demonstrated ability to review complex, multi-hundred-page regulations and apply them to marketing materials.
• Excellent communication skills - must be highly polished, articulate, and capable of engaging with senior stakeholders.
• Juris Doctor (JD) degree and licensed to practice law in a U.S. jurisdiction.

Responsibilities:

• Reviewing and ensuring compliance of investor disclosures and marketing materials related to private equity, securities, and investment offerings.
• Conducting detailed legal analysis of materials against the SEC’s Marketing Rule and relevant regulatory frameworks.
• Providing legal guidance on SEC and 40 Act regulations as they apply to investment advisers.
• Collaborating with internal legal teams, compliance officers, and external stakeholders to ensure adherence to evolving regulatory requirements.
• Advising on best practices for marketing material approvals and mitigating compliance risks in fundraising and investor communications.