Investment Funds & Securities Counsel Job at Axiom Law (New York)

Investment Management Counsel

We are seeking a mid-level Investment Management Counsel to support clients in t...

Location

United States

Salary:

158000.00 USD / Year

Axiom Law

Expiration Date

Until further notice

Requirements

JD or equivalent with active bar membership in good standing
5–15 years of post-qualification experience in investment management, financial services, or regulatory law
Strong knowledge of broker-dealer regulations, OCC compliance, and institutional investment frameworks
Demonstrated experience with investment agreements, indemnification clauses, and fiduciary duties
Ability to operate independently and manage client relationships in dynamic, fast-paced environments

Job Responsibility

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

What we offer

health benefits
401k
professional development tools and resources
learning and development programs

Fulltime

Legal Consultant - Asset Management

We are currently seeking Funds / Asset Management Lawyers to join our team and s...

Location

Hong Kong , Hong Kong

Salary:

Not provided

Axiom Law

Expiration Date

Until further notice

Requirements

Qualified lawyer
Minimum of 2 or more years of experience practicing law with a focus on investment funds
Experience preferably in a law firm or in-house e.g. asset management firm
Strong knowledge of Hong Kong laws and regulations applicable to investment funds, including SFC guidelines

Job Responsibility

Provide legal counsel and support on the formation, structuring, and operation of investment funds, including drafting offering documents, fund agreements, and regulatory filings
Advise on compliance with Hong Kong laws and regulations governing investment funds, such as the Securities and Futures Ordinance (SFO), prospectus requirements, and ongoing reporting obligations
Assist in fund transactions and regulatory matters, including fund mergers and acquisitions, and responding to inquiries from regulatory authorities

What we offer

Medical
Dental
Professional development resources
Learning and development programs

Investment Funds Lawyer

We are seeking an Investment Funds Lawyer to work with a leading international f...

Location

Canada , Toronto

Salary:

Not provided

Axiom Law

Expiration Date

Until further notice

Requirements

5+ years in securities law with a focus on investment funds/asset management
Experience at Canadian asset managers (RBC GAM, BMO, TD, CIBC, McKenzie, Fidelity, CI, Manulife, Canada Life, etc.)
Strong knowledge of NI 81-series and regulatory framework for mutual funds/ETFs
Previous in-house asset management or large Canadian financial institution experience preferred

Job Responsibility

Launching Canadian-domiciled investment funds (mutual funds, ETFs) for retail and institutional markets
Advising on National Instruments 81-102, 81-106, 81-107 compliance
Supporting product development team on new fund launches
Providing day-to-day legal counsel on asset management matters

What we offer

Medical, dental, and more
Professional development resources
Learning and development programs

New

Corporate or Tax Legal Counsel

Location

United States , Irvine

Salary:

150000.00 - 175000.00 USD / Year

Pathway Capital Management

Expiration Date

Until further notice

Requirements

Direct deal experience as an associate on at least one or more of the types of transactions identified in the first bullet point in the responsibilities section is essential
Expertise and significant interest in doing deals
Ability to work effectively and efficiently on internal teams and with investors, clients and general partners of investment partnerships
Ability to skillfully manage and prioritize multiple internal and external client demands, transactions and projects
Exemplary analytical, creative, problem-solving, decision-making, interpersonal, verbal and written skills
Demonstrated business acumen with ability to inspire trust and confidence with senior management
Interest in and willingness to work on a team and independently on a broad range of legal matters/topics, some of which may be new issues

Job Responsibility

Primarily participating on the legal team relating to the following types of transactions and matters: Private market limited partnership agreements relating to primary and secondary investments in private equity and credit funds and direct investments (as part of M&A transactions) with sophisticated counterparties
Tax counsel would advise on and negotiate provisions relating to all investment partnership tax issues, including tax allocations
Fund-of-funds agreements and advisory contracts with Pathway investors and clients
Assist in advising on issues relating to the Investment Advisers Act of 1940
Assist in advising on certain securities laws, corporate governance matters and company policies and procedures
Provide legal guidance to investment, compliance, accounting and tax professionals, often regarding complex legal and business issues
This position reports to the General Counsel

What we offer

Flexible work format and collaborative yet autonomous culture
Health insurance coverage is provided with a minimal payroll contribution
Observation of ~10 bank holidays per year and generous vacation accrual and one discretionary bonus per year
Excellent 401(k) employer match

Fulltime

Counterparty Credit Risk Underwriter

The Counterparty Credit Underwriter supporting and working on coverage of a glob...

Location

United Kingdom , London

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Good track record of experience in Hedge fund credit or related experience
Good knowledge of hedge fund/family office/private equity structures/operations and strategy types, prime brokerage and derivatives/capital market products, ISDA/other trading agreements, securities based lending (margin lending)
Strong grasp of current technologies including stress testing is highly beneficial
Knowledge of capital markets and securities based lending products
Strong analytical skills and ability to decompose transactions into the core risks
Good quantitative skills a plus
Solid Risk and Business judgment on the full spectrum of risk issues including Operational and Franchise Risk
University Degree/Graduate Degree in Business, Finance or Economics or equivalent is a plus

Job Responsibility

Implementing and applying the Credit Risk Framework for IFOs
Working closely with the IFO UW team lead to maintain and develop further the Wealth IFO governance framework, including the running and administration of regional IFO Forums, the stewardship of the Wealth IFO List, and the provision of advice as needed
Credit manage an assigned portfolio of IFOs globally
Lead, coordinate, or join due diligence (DD) meetings to understand the risk profile and dominant strategy of the IFOs and ensure risk appetite at the Citi level remains adequate
Assess key risks including portfolio concentration and diversification, liquidity, redemption risks if any
Assign Risk Ratings by using appropriate risk methodologies and scoring sheets
Assess risk rating methodology on a periodic basis
Decide client margin tiering and apply appropriate tiering guidelines and margins
Understand key risk dynamics and assessments at a fund/entity level as well as at the investment manager level
Understand the IFOs holding structure and investors base

What we offer

Best-in-class benefits
Work-life balance

Fulltime

M&A Lawyer

We are seeking an M&A Lawyer to work with our client, a global investment bank, ...

Location

United States , Dallas

Salary:

150000.00 USD / Year

Axiom Law

Expiration Date

Until further notice

Requirements

Possess an active bar license in the state in which you reside
Minimum 4+ years of experience practicing as an M&A attorney at an AmLaw firm or F500 in-house legal department, with a focus on handling complex M&A transactions
Experience working on mergers, acquisitions, joint ventures, divestitures, private equity, or fund investments either at an law firm or in an in-house legal team
Strong knowledge of federal and state corporate and securities laws, regulations, and practices related to M&A transactions
Deep knowledge of market practices for M&A and financing transactions
Versatile in handling diverse matters across a range of products and businesses, with a willingness to adapt, learn new skills, and share expertise
Exceptional verbal communication, drafting, and contract negotiation skills
Strong research abilities with meticulous attention to detail
Proven ability to thrive in a fast-paced, challenging environment, managing and prioritizing multiple matters simultaneously
Professional, commercially minded approach to problem-solving

Job Responsibility

Draft, review, advise on, and negotiate client engagement letters and related agreements for the firm’s investment banking and financial advisory activities, in coordination with investment banking staff and the Legal and Compliance Department
Provide day-to-day legal and regulatory guidance to investment banking staff and internal teams, including contract interpretation, dispute resolution, and identification/management of potential conflicts of interest and other risks
Monitor legal and regulatory developments and industry best practices, and update, implement, and enforce policies and procedures to ensure compliance
Manage and coordinate work with outside counsel, as needed
Recommend new approaches, policies, and procedures to improve efficiency and address emerging legal developments and trends
Assist in the management of litigation and dispute resolution matters

What we offer

health benefits
401K
professional development resources
learning and development programs

Fulltime

M&A Lawyer

We are seeking an M&A Lawyer to work with our client, a global investment bank, ...

Location

United States , Chicago

Salary:

150000.00 USD / Year

Axiom Law

Expiration Date

Until further notice

Requirements

Possess an active bar license in the state in which you reside
Minimum 4+ years of experience practicing as an M&A attorney at an AmLaw firm or F500 in-house legal department, with a focus on handling complex M&A transactions
Experience working on mergers, acquisitions, joint ventures, divestitures, private equity, or fund investments either at an law firm or in an in-house legal team
Strong knowledge of federal and state corporate and securities laws, regulations, and practices related to M&A transactions
Deep knowledge of market practices for M&A and financing transactions
Versatile in handling diverse matters across a range of products and businesses, with a willingness to adapt, learn new skills, and share expertise
Exceptional verbal communication, drafting, and contract negotiation skills
Strong research abilities with meticulous attention to detail
Proven ability to thrive in a fast-paced, challenging environment, managing and prioritizing multiple matters simultaneously
Professional, commercially minded approach to problem-solving

Job Responsibility

Draft, review, advise on, and negotiate client engagement letters and related agreements for the firm’s investment banking and financial advisory activities, in coordination with investment banking staff and the Legal and Compliance Department
Provide day-to-day legal and regulatory guidance to investment banking staff and internal teams, including contract interpretation, dispute resolution, and identification/management of potential conflicts of interest and other risks
Monitor legal and regulatory developments and industry best practices, and update, implement, and enforce policies and procedures to ensure compliance
Manage and coordinate work with outside counsel, as needed
Recommend new approaches, policies, and procedures to improve efficiency and address emerging legal developments and trends
Assist in the management of litigation and dispute resolution matters

What we offer

health benefits
401K
professional development resources
learning and development programs

Fulltime

M&A Lawyer

We are seeking an M&A Lawyer to work with our client, a global investment bank, ...

Location

United States , Atlanta

Salary:

150000.00 USD / Year

Axiom Law

Expiration Date

Until further notice

Requirements

Possess an active bar license in the state in which you reside
Minimum 4+ years of experience practicing as an M&A attorney at an AmLaw firm or F500 in-house legal department, with a focus on handling complex M&A transactions
Experience working on mergers, acquisitions, joint ventures, divestitures, private equity, or fund investments either at a law firm or in an in-house legal team
Strong knowledge of federal and state corporate and securities laws, regulations, and practices related to M&A transactions
Deep knowledge of market practices for M&A and financing transactions
Versatile in handling diverse matters across a range of products and businesses, with a willingness to adapt, learn new skills, and share expertise
Exceptional verbal communication, drafting, and contract negotiation skills
Strong research abilities with meticulous attention to detail
Proven ability to thrive in a fast-paced, challenging environment, managing and prioritizing multiple matters simultaneously
Professional, commercially minded approach to problem-solving

Job Responsibility

Draft, review, advise on, and negotiate client engagement letters and related agreements for the firm’s investment banking and financial advisory activities, in coordination with investment banking staff and the Legal and Compliance Department
Provide day-to-day legal and regulatory guidance to investment banking staff and internal teams, including contract interpretation, dispute resolution, and identification/management of potential conflicts of interest and other risks
Monitor legal and regulatory developments and industry best practices, and update, implement, and enforce policies and procedures to ensure compliance
Manage and coordinate work with outside counsel, as needed
Recommend new approaches, policies, and procedures to improve efficiency and address emerging legal developments and trends
Assist in the management of litigation and dispute resolution matters

What we offer

Health benefits
401K
Professional development resources
Learning and development programs

Fulltime

Investment Funds & Securities Counsel

Axiom Law

Location:
United States , New York

Category:
Legal

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
December 23, 2025

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