Associate - Investment Funds Regulatory
Hybrid (New York City)$270k - $410kFull-timePosted 4w ago
About the role
Associate in Norm Law's Investment Companies Practice focusing on formation, registration, compliance, and governance of registered investment companies, investment advisers, and independent directors, with access to bespoke AI agents to support regulatory workstreams.
Responsibilities
- Regulatory Filings & Disclosure: Leverage AI agents to generate, compare, and redline Form ADV registrations, and other regulatory filings.
- Marketing Rule Review: Use AI tools to review marketing materials, pitch decks, and performance presentations against the Marketing Rule, and advise on track record and portability questions.
- Formation & Transaction Support: Partner with our private fund formation and tax teams on live fund launches, and advise on the regulatory implications of adviser M&A, spin-outs, etc.
- SEC Examinations & Inquiries: Represent advisers through SEC examinations, document requests, and follow-up, using AI tools to move quickly through large productions on valuation, conflicts, fees and expenses, and marketing.
- Client Advisory: Partner with clients to demonstrate how AI-assisted workflows improve accuracy, transparency, and turnaround.
- Collaboration with Tech: Work closely with the technology teams to continue to make regulatory workflows even more efficient using AI.
Qualifications
- 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 and with SEC examinations, and the ability to talk in detail about both.
- Strong drafting and communication skills; meticulous attention to detail.
- Interest in applying technology to enhance traditional deal workflows.
- No prior AI or technical experience required.
Skills
Required:Juris Doctor (JD) or equivalentRegulatory filings (Form ADV)Marketing Rule reviewsSEC examinations
Benefits
- 401(k) with employer match
- health, dental, vision coverage
- unlimited paid time off
- free lunch in office daily
- employee referral bonus program
Last updated Oct 21, 2026. Interested? Apply on the company site.
About Norm AI
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Norm Ai enables the world’s most sophisticated institutions to move faster, reduce risk, and unlock growth with Legal & Compliance AI.
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