Opportunities • Frink-Hamlett

Opportunities

Investment Advisory Associate

Job Title
Investment Advisory Associate
Duration
Location
North NJ,  NJ
Other Location
Description

Investment Advisory Associate

Fortune 500 financial services company located in North NJ (convenient commute via NYC public transportation) seeks an Investment Advisory Associate.  This is a permanent position and the salary commensurate with experience.    

The Big Picture

This role requires a legal professional with experience in advising an investment advisory business on the development and regulation of wrap fee programs, review of asset allocation and portfolio analytics tools, cash solicitation agreements under the Advisers Act, and performance reporting issues.   You will provide legal support on the development and maintenance of investment advisory programs - from initial strategy to launch. Plus, superior written and verbal communications skills are essential as you will routinely interface with front office professionals.  Additional duties include the following:

  • Coordinate with field legal and branch management to review and explain the impact of custom legal provision(s)
  • Interface directly with clients and their legal counsel to address questions and concerns
  • Conduct annual review of Form ADVs, contract templates, policies and procedures and program training modules
  • Interface with outside counsel and in-house Legal and Compliance partners to address issues or evaluate new business opportunities
  • Review asset allocation, portfolio analytic tools, performance reports and marketing materials to ensure compliance with applicable rules

Compensation

Commensurate with experience.

Required Skills

  • JD degree, admitted attorney
  • 2-5 years with prior SEC, FINRA experience is highly preferred
  • Experience with investment advisory wrap fee products

 

 

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Openings
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