Associate General Counsel, Investment Management Attorney


Date: Dec 19, 2018

Location: New York, NY, US

Company: New York Life Insurance Co


A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It’s a career journey you can be proud of, and you’ll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and service, supported by our Foundation. It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. We invite you to bring your talents to New York Life, so we can continue to help families and businesses “Be Good At Life.” To learn more, please visit LinkedIn, our Newsroom and the Careers page of


Investment Management Attorney

Associate General Counsel

Key Duties and Responsibilities:

  • Work closely with multiple internal global business clients on U.S. legal and regulatory issues impacting U.S. investment managers with a variety of investment disciplines (including equity, fixed income, alternatives).
  • Provide legal advice on marketing, promotion, and sales of investment products on a multi-jurisdictional basis.
  • Assist in preparation of legal documentation including investment advisory agreements and distribution agreements.
  • Research and advise on developments in the law, regulations, and practices relating to the asset management industry with an emphasis on marketing and advisory laws and regulations in the U.S.
  • Familiarity with corporate debt, real estate, and private equity managers preferred.

Required Qualifications:

  • JD and admission to the NY Bar are required.
  • Attorney with at least 6-8 years of experience working as an investments advisory attorney with a law firm and/or another asset management environment.
  • Familiarity with:
  • legal issues relating to U.S. marketing, distribution, and asset management specifically on the institutional side;
  • Knowledge/experience involving the Custody Rule
  • negotiating and drafting investment management contracts.
  • Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Knowledge of securities laws (including the federal securities laws, FINRA and state securities laws) applicable to registered investment advisers with U.S.  and international products and with advisers licensed in multiple global jurisdictions.
  • Willingness to learn new areas of the law.
  • Superior written and oral communications skills, excellent analytical, problem-solving, and interpersonal skills.
  • Proven record of managing multiple projects while meeting deadlines.

General Profile:

  • Recognized expert within the company.
  • Influences strategy to address internal or external business and regulatory issues.
  • Proactively identifies and solves the most complex problems that impact the management and direction of the business.
  • Contributes to the development of functional strategy.
  • May lead multidisciplinary projects.
  • Stays abreast of regulatory issues that have an impact on the business.
  • Proactively identifies and solves complex problems; uses innovative methods to think beyond existing solutions.
  • Has responsibility for making and driving significant decisions that impact strategy and performance within the asset management area.
  • Strong interpersonal skills.




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