Job Title: Associate/Manager (focus area: securities)
Job Type: Full Time
Location: Washington, D.C.
Summary: Patomak Global Partners, LLC is looking for a junior- to mid-level professional at the Associate/Manager level to work on regulatory strategy and compliance issues for financial industry clients, particularly asset managers, broker-dealers, financial technology companies, and digital asset trading platforms. The Associate/Manager will also support expert witness engagements related to securities litigation. The Associate/Manager will support the CEO and serve clients in closely tracking developments in securities regulation. The ideal candidate will have relevant agency experience and/or experience at a law firm working on securities matters.
Position Responsibilities:
- Work directly with CEO and Managing Directors regarding the day-to-day management of multiple securities-related regulatory strategy and compliance projects, including advising clients on strategic approach to securities industry public policy issues and assessing current compliance programs against rules and regulations.
- Draft thought leadership on cutting-edge regulatory developments and financial market events in conjunction with the leading experts in the field.
- Assist expert witnesses in preparing reports and testimony in securities-related litigation.
- Participate and lead reviews assessing compliance programs focusing on specific regulatory requirements (e.g., private fund advisers, conflicts of interest, market structure, recordkeeping).
- Develop project plans and timelines for completing deliverables.
- Draft and deliver written reports and agreed-upon deliverables to the client.
- Closely collaborate with Senior Directors and Managing Directors on business development activities and client relationship management.
Skills, Experience, and Qualifications:
- Broad understanding of federal securities laws and regulations, especially the ones applicable to broker-dealers, investment advisers and investment companies.
- Experience with Investment Company Act and Investment Advisers Act issues including but not limited to fund governance, valuation, conflicts of interest, disclosures, and related party transactions.
- Familiarity with recent SEC investment adviser and broker-dealer rule proposals and final rules.
- 3-8 years private sector (g.,consulting firm, law firm, compliance department) and/or government or regulatory (e.g., SEC, FINRA) securities experience.
- Law degree preferred but not required.
- Strong organizational, time management, and problem-solving skills.
- Experience leading teams focused on identifying or overcoming compliance challenges facing leading financial companies.
- Excellent writing and editing skills.
- Excellent project management skills.
- “No-job-too-small” collaborative attitude.
- Proactive and curious; desire and ability to quickly get up to speed on new topics, regulatory priorities, and rules and regulations.
- Flexible in adapting to new job duties and client demand.
- Positive attitude and desire to learn.
Patomak Global Partners, LLC is an equal opportunity employer and does not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law, ordinance, or regulation.
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