Norm Law, LLP
Associate - Investment Funds Regulatory
$270K–$410K
New York City · On-site · Full-time · Posted Sep 18, 2026
- Experience
- 4 to 6 years of investment funds regulatory experience.
- Education
- Juris Doctor (JD) or equivalent.
About the job
Advises on investment funds regulatory matters, including fund formation, registrations, compliance, governance, SEC examinations, and marketing review, using AI-enabled legal workflows.
What you'll do
- Prepare and review Form ADV registrations and other regulatory filings; assess marketing materials under the Marketing Rule.
- Support fund launches and adviser transactions, and represent advisers in SEC examinations and inquiries.
- Advise clients on AI-assisted workflows and collaborate with technology teams to improve regulatory processes.
What they ask for
- Juris Doctor (JD) or equivalent; admission in at least one U.S. jurisdiction.
- Hands-on experience with Marketing Rule reviews and SEC examinations.
- Strong drafting and communication skills, meticulous attention to detail, and interest in applying technology to deal workflows.
Pay
$270,000 to $410,000 USD per year (base salary)
Tools
Norm Ai, AI Agents, Form ADV
AI focus
Uses bespoke AI agents and tools for regulatory filings, marketing review, examination document review, and transaction workflows; collaborates with technology teams to improve AI-enabled regulatory processes.
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