SEC Marketing Compliance Counsel

About Axiom:

Axiom is a global leader in providing high-quality, flexible legal services to some of the world’s largest companies. Join our innovative talent community and help drive impactful legal solutions to complex problems in various industries.

Job Description:

We are looking for a skilled Regulatory & Compliance Counsel to join our Investment Advisory team. In this role, you will provide strategic legal guidance on marketing and investor communications compliance within the private equity and investment management sector. This position offers the opportunity to work with top-tier clients, ensuring adherence to SEC regulations, including the SEC’s Marketing Rule (2021).

Responsibilities:

• Analyze and review investor disclosures, marketing materials, and fund-related communications for regulatory compliance.
• Assess marketing content to ensure alignment with SEC regulations, including the Investment Advisers Act and the SEC’s Marketing Rule.
• Provide legal counsel on SEC and 40 Act compliance, with a focus on private equity and fund marketing strategies.
• Partner with compliance teams, investment professionals, and external advisors to navigate evolving regulatory landscapes.
• Develop policies and best practices for marketing reviews, fundraising compliance, and investor communications.

Qualifications:

• Strong expertise in SEC compliance and financial regulations, particularly regarding marketing and advertising under the SEC’s Marketing Rule (2021).
• Experience in investment management, private equity, or a related financial sector with a focus on regulatory compliance.
• Deep understanding of the Investment Advisers Act, the 40 Act, and other relevant securities laws.
• Ability to review complex regulatory frameworks and apply them to marketing and investor communications.
• Excellent communication and advisory skills, with the ability to engage with senior stakeholders.
• JD degree and active U.S. bar admission.

Preferred Skills:

• Previous experience advising private equity firms, investment funds, or asset managers.
• Strong analytical skills for interpreting regulatory developments and their impact on financial marketing.
• Experience at a top-tier law firm, regulatory agency, or financial institution is highly desirable.

Compensation, Benefits & Location:

This role offers a range of $150,000 - $200,000 competitive compensation and a highly competitive benefits package in the alternative legal services marketplace that includes health benefits, 401K and more. Axiomites also get access to professional development resources and learning and development programs. Axiomites predominately work remotely, with the exception that some clients require on-site presence.

Axiom is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and APAC, we enable legal departments to drive efficiency and growth and meet the demands of today’s business landscape with best in breed alterative legal services.

Axiom is a leader in diversity, inclusion, and social engagement. Diversity is core to our values and we are proud to be an equal opportunity employer. We are proud to be named a best place to work for LGBTQ+ Equality, earning top marks in the 2021 Corporate Equality Index for the second consecutive year. Axiom’s legal department is Mansfield certified and is committed to considering at least 50% diverse candidates for leadership roles and outside counsel representation.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

Learn more about working at Axiom.

Equal Opportunity Employer: Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, sex, gender reassignment, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.

Accommodation for Individuals with Disabilities: Upon request and consistent with applicable laws, Axiom will provide reasonable accommodations for individuals with disabilities who require an accommodation to participate in each stage of the recruitment process. To request an accommodation to complete the application form, please contact us at benefits@axiomlaw.com and include “Applicant Accommodation” in the subject line. 

Axiom respects your privacy. For an explanation of the kind of information we collect about you and how it is used, our full privacy notice is available at https://www.axiomlaw.com/privacy-notice. 

Employment with Axiom may be contingent upon successful completion of a background check, providing proof of identity, and possessing the necessary legal authorization to work.

By submitting an application, you acknowledge that all information contained therein, and provided at any part of the application process, is correct and accurate to the best of your knowledge.

#LI-BG1