Investment Management Lawyer

 

About Axiom: 

Axiom is transforming the legal services landscape by delivering innovative solutions ranging from individual secondees to fully integrated project teams that combine top-tier talent with cutting-edge technology. Join our innovative talent community and help drive impactful legal solutions to complex problems in various industries. 

Job Description:

We are seeking a mid-level Investment Management Lawyer to join our growing team and support client engagements across the financial services, investment, and institutional asset management sectors. This role is ideal for a legal professional with 7–12 years of post-qualification experience who brings strong regulatory and transactional experience in investment management. The successful candidate will provide strategic legal support across broker-dealer matters, investment agreements, ERISA-related investment issues, and institutional asset structures such as trusts and pension funds.

Responsibilities:

 

• Draft, review, and negotiate a range of investment management and advisory agreements, including side letters, term sheets, and indemnification provisions.
• Provide legal support to broker-dealer operations and advise on applicable FINRA, SEC, and OCC regulatory compliance.
• Counsel clients on ERISA matters related to investment products, pension funds, and fiduciary responsibilities (non-employment).
• Advise on trust and pension fund governance, investment structures, and institutional asset allocation.
• Support regulatory inquiries and audits; stay current on relevant securities laws and fiduciary standards.
• Collaborate with investment, compliance, and legal teams to develop and refine investment product strategies.

 

Minimum Qualifications:

 

• JD or equivalent with active bar membership in good standing.
• 7–12 years of experience advising on investment management legal matters in-house, at a law firm, or a regulatory agency.
• Strong working knowledge of broker-dealer regulations, OCC compliance, and institutional investment frameworks.
• Demonstrated experience with investment agreements and regulatory considerations related to indemnification and fiduciary duties.
• Ability to operate independently and manage client relationships in dynamic, fast-paced settings.

Preferred Skills:

 

• Experience supporting institutional asset managers, including pension funds and trust departments.
• ERISA knowledge specific to the investment side (not employment/benefits).
• Familiarity with both U.S. and cross-border regulatory frameworks relevant to broker-dealer and investment activity.
• Prior experience with financial institutions, such as Vanguard, Fidelity, or large pension or trust firms, is a strong plus.
• Excellent communication and project management skills.

 

Compensation, Benefits & Location:  

This role offers a range of competitive compensation starting at $158,000, 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 tools and 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.  

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 rac