Associate – Investment Funds Regulatory

Norm Ai

. Advise on formation, registration, compliance, and governance of registered investment companies, investment advisers, and independent directors .

Posted 9/18/2026full-timeNew York City • New York • United StatesJuniorMid-Level💰 $270,000 - $410,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in investment funds regulatory compliance, including hands-on experience with the Marketing Rule and SEC examinations. Proficient in utilizing AI tools to enhance regulatory workflows and support deal teams effectively.

Highest-signal resume keywords

Investment Funds Regulatory ExperienceMarketing Rule ReviewSEC Examination ExperienceAI FluencyStrong Drafting Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceDraftingDocument ReviewPerformance Presentation AnalysisValuation AnalysisConflict ResolutionFee and Expense ReviewTrack Record AnalysisPrivate Fund FormationM&A Advisory

Soft Skills

Attention to DetailCommunication SkillsCollaborationAdvisory SkillsProblem-Solving

Tools & Technologies

AI ToolsAI AgentsRegulatory WorkflowsDocument Management SystemsDeal Workflow Technology

Certifications & Qualifications

Juris Doctor (JD)Admission in U.S. Jurisdiction

Industry Keywords

Investment CompaniesInvestment AdvisersIndependent DirectorsPrivate FundsRegulatory FilingsFund LaunchesAdviser M&ASpin-OutsMarketing RuleSEC Regulations

About the role

Key responsibilities & impact

Advise on formation, registration, compliance, and governance of registered investment companies, investment advisers, and independent directors
Work closely with private fund formation, tax, and registered funds teams
Use AI agents to generate, compare, and redline Form ADV registrations and other regulatory filings
Review marketing materials, pitch decks, and performance presentations against the Marketing Rule
Advise on track record and portability questions
Support live fund launches with private fund formation and tax teams
Advise on regulatory implications of adviser M&A and spin-outs
Represent advisers through SEC examinations, document requests, and follow-up
Use AI tools to review large productions concerning valuation, conflicts, fees and expenses, and marketing
Demonstrate AI-assisted workflows to clients
Collaborate with technology teams to improve regulatory workflows using AI
Learn firm AI platforms and support deal teams using AI-enabled review and drafting
Independently manage discrete deal components with AI support
Lead AI-augmented workstreams in live transactions

Requirements

What you’ll need

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
Ability to discuss Marketing Rule reviews and SEC examinations in detail
Strong drafting and communication skills
Meticulous attention to detail
Interest in applying technology to enhance traditional deal workflows
AI fluency and ability to demonstrate practical, hands-on AI usage throughout the interview process
Legally authorized to work in the United States on a full-time basis
No prior AI or technical experience required

Benefits

Comp & perks

401(k) with employer match
Health coverage
Dental coverage
Vision coverage
Unlimited paid time off
Free lunch in office daily
Employee referral bonus program