Wealth Advisory Asset Management Compliance Attorney; Act Focus), SVP

Key Responsibilities Legal & Documentation Review

• Fund/Product Review: provide legal advice and conduct detailed reviews of documentation for investment products offered to clients, which may include registered funds, private funds (e.g., hedge funds, private equity, venture capital that qualify for exemption from ’40 Act registration), and separate account programs.
• Contract Drafting & Negotiation: draft, review, and negotiate critical agreements, including:
  • Investment advisory agreements and client service contracts.
  • Third‑party vendor, sub‑advisor, and distribution agreements.
  • Fund administrator agreements.
• Disclosure Filings: Assist in the preparation, review, and filing of key regulatory documents, including Form ADV (Parts 1 and
  2), and other SEC filings, ensuring accuracy and timely submission.
• Marketing & Communications Review: Review all public communications, marketing materials, sales literature, performance reports, and client correspondence to ensure compliance with SEC/FINRA advertising rules, focusing on proper risk disclosure and absence of misleading statements.

• Policy Creation: Lead the drafting, updating, and implementation of the firm’s core legal and compliance policies and procedures, including:
  • Code of Ethics and personal trading policies (Rule 204A‑1).
  • Compliance Manual and supervisory procedures (Rule 206(4)-7 / Rule 38a‑1).
  • Conflicts of Interest Policies
  • Reg BI
• Annual Compliance Review: Support the annual Rule 206(4)-7 review process for the Investment Adviser, including documentation, testing, and preparation of the CCO annual report.
• Regulatory Guidance: Act as an internal subject‑matter expert, providing timely and pragmatic legal advice to business stakeholders on new regulatory developments and their impact on wealth‑management operations.
• Training &
  
  Education:
  
  Develop and deliver mandatory legal and compliance training (e.g., annual compliance, insider trading) to employees across the advisory business.

• Entrepreneurial Mindset: Ability to thrive in an environment with limited resources and build processes from the ground up.
• Pragmatic Judgment: Must be able to balance regulatory requirements with business objectives, providing commercially viable solutions rather than just identifying risks.
• Operational Execution: Willingness to move beyond traditional legal advisory duties to actively manage compliance processes and systems required for a lean operation.

• Juris Doctor (J.D.) from an accredited law school. Member in good standing of at least one U.S. State Bar.
• Minimum 5‑8 years of legal experience, preferably in‑house legal or compliance department of an asset manager, or a regulatory agency.
• Deep, working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Strong familiarity with other securities laws, including the Securities Act of 1933 and the Securities Exchange Act of 1934.
• Ability to interpret complex regulatory text and translate it into practical business policies and advice. Excellent drafting and negotiation skills.
• Series 7 and 24 preferred but not required.

Wolfe Research we feel passionately about equal pay for equal work and pay transparency is an integral practice for that. The compensation for this role is market competitive with a base salary range of $175,000-$250,000. We intend to offer the selected candidate a base salary within this range, based on non‑discriminatory factors including but not limited to skill set, job‑related experience, and location.

In addition, we offer an annual discretionary incentive bonus and competitive employee benefits including: medical, dental and vision coverage; life, accident and disability insurance. Wolfe also offers paid time off packages that include vacation, sick days/leave, paid holidays and paid parental leave.

Wolfe Research, LLC is a premier independent sell‑side research firm with a commitment to best‑in‑class content and ongoing strategic growth. We produce the most objective and distinguished research across our covered sectors, and deliver our services with intense care…