Private Equity Marketing Compliance Counsel (Onsite - NYC)

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 seeking a Legal Counsel to join our Investment & Regulatory Compliance team. In this role, you will be responsible for providing expert legal advice and support to clients in the private equity and investment management sector. This role offers the opportunity to work with leading clients, advising on compliance with the SEC’s Marketing Rule (2021) and its post-2022 amendments.

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.

Qualifications:

• 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.
• Must be based in or around NYC and available to work onsite 4 days per week.
• Juris Doctor (JD) degree and licensed to practice law in a U.S. jurisdiction.

Preferred Skills:

• Experience working with private equity clients or investment funds.
• Strong analytical skills with the ability to interpret and apply SEC and financial regulatory changes.
• Prior experience working at a top-tier law firm, asset manager, or regulatory body is a plus. 

Compensation, Benefits & Location:

This role offers a range of 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 discrimin