Phaxis
Compliance And Legal Associate
We are a dynamic and growing investment management firm offering a range of strategies across both public and private markets. With a global footprint and a product suite that includes mutual funds, ETFs, offshore vehicles, and digital assets, we are focused on delivering differentiated, first-to-market solutions to our clients. The firm manages approximately $9 billion in assets and is supported by a collaborative team of about 45 professionals. Our compliance function is small, agile, and deeply embedded in the business. The team is led by a senior compliance executive with nearly 20 years of experience in asset management and a strong focus on mentorship and professional development. We work closely across departments and take pride in fostering an environment built on integrity, shared accountability, and mutual respect. The culture is thoughtful, hands-on, and focused on doing excellent worktogether. We are hiring a compliance and legal associate to support the firms regulatory program across a diverse platform of investment vehicles, including mutual funds, ETFs, offshore funds, and private offerings. This is a high-impact role offering exposure to U.S. and global regulations, and its well-suited for someone with a background in legal or regulatory compliance who wants to be involved in all facets of a growing investment management business. The ideal candidate brings a sharp attention to detail, strong judgment, and the ability to proactively identify and address regulatory risks. This is a full-time, in-office position based in Midtown Manhattan (4 days/week in person). Key responsibilities include: Draft and review regulatory filings such as fund prospectuses, supplements, and Statements of Additional Information (SAIs) Support the review and negotiation of third-party agreements, including sub-adviser contracts and index or data licensing arrangements Collaborate cross-functionally with internal teams and outside counsel to resolve regulatory, legal, and governance-related issues Prepare and coordinate materials for board meetings, including legal and compliance updates and contract approvals Assist with compliance monitoring and implementation of key regulatory frameworks, including Rule 22e-4 (liquidity risk), Rule 18f-4 (derivatives risk), Rule 2a-5 (valuation), and other applicable regulations Contribute to the firms annual compliance review and maintain required documentation under Rule 206(4)-7 and other adviser regulations Monitor changes in the regulatory landscape and assess potential impacts on the business and fund operations The candidate profile includes: Juris Doctor (J.D.) preferred; admission to practice law in at least one U.S. jurisdiction strongly preferred 25 years of relevant experience in legal, compliance, or regulatory roles in the investment management space Solid knowledge of the Investment Advisers Act of 1940; familiarity with UCITS or international fund structures is a plus Strong organizational skills and ability to balance competing priorities in a fast-paced environment Excellent writing, research, and analytical capabilities Team-oriented, adaptable, and eager to contribute to a growing platform
We are a dynamic and growing investment management firm offering a range of strategies across both public and private markets. With a global footprint and a product suite that includes mutual funds, ETFs, offshore vehicles, and digital assets, we are focused on delivering differentiated, first-to-market solutions to our clients. The firm manages approximately $9 billion in assets and is supported by a collaborative team of about 45 professionals. Our compliance function is small, agile, and deeply embedded in the business. The team is led by a senior compliance executive with nearly 20 years of experience in asset management and a strong focus on mentorship and professional development. We work closely across departments and take pride in fostering an environment built on integrity, shared accountability, and mutual respect. The culture is thoughtful, hands-on, and focused on doing excellent worktogether. We are hiring a compliance and legal associate to support the firms regulatory program across a diverse platform of investment vehicles, including mutual funds, ETFs, offshore funds, and private offerings. This is a high-impact role offering exposure to U.S. and global regulations, and its well-suited for someone with a background in legal or regulatory compliance who wants to be involved in all facets of a growing investment management business. The ideal candidate brings a sharp attention to detail, strong judgment, and the ability to proactively identify and address regulatory risks. This is a full-time, in-office position based in Midtown Manhattan (4 days/week in person). Key responsibilities include: Draft and review regulatory filings such as fund prospectuses, supplements, and Statements of Additional Information (SAIs) Support the review and negotiation of third-party agreements, including sub-adviser contracts and index or data licensing arrangements Collaborate cross-functionally with internal teams and outside counsel to resolve regulatory, legal, and governance-related issues Prepare and coordinate materials for board meetings, including legal and compliance updates and contract approvals Assist with compliance monitoring and implementation of key regulatory frameworks, including Rule 22e-4 (liquidity risk), Rule 18f-4 (derivatives risk), Rule 2a-5 (valuation), and other applicable regulations Contribute to the firms annual compliance review and maintain required documentation under Rule 206(4)-7 and other adviser regulations Monitor changes in the regulatory landscape and assess potential impacts on the business and fund operations The candidate profile includes: Juris Doctor (J.D.) preferred; admission to practice law in at least one U.S. jurisdiction strongly preferred 25 years of relevant experience in legal, compliance, or regulatory roles in the investment management space Solid knowledge of the Investment Advisers Act of 1940; familiarity with UCITS or international fund structures is a plus Strong organizational skills and ability to balance competing priorities in a fast-paced environment Excellent writing, research, and analytical capabilities Team-oriented, adaptable, and eager to contribute to a growing platform