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Axiom Law Logo Axiom Law · Legal

Investment Management Counsel

United States 158000.00 USD / Year · Job Posted December 23, 2025
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Job Description

We are seeking a mid-level Investment Management Counsel to support clients in the financial services, institutional asset management, and wealth management sectors. This role is ideal for attorneys with strong experience in broker-dealer matters, investment management agreements, ERISA (investment side), and institutional investment structures, including trusts and pension funds. Candidates with prior experience in investment management firms or supporting institutional investment strategies are highly desirable.

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

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

Nice to have

  • Experience advising institutional asset managers, including pension funds and trust departments
  • ERISA expertise specifically related to the investment side, not employment/benefits
  • Familiarity with cross-border and U.S. regulatory frameworks relevant to broker-dealer and investment activity
  • Previous experience at investment management firms, large wealth management institutions, or fiduciary-focused organizations (e.g., Vanguard, Fidelity) is a plus
  • Strong communication, project management, and client advisory skills

What we offer

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