Viking Global Investors
Founded in 1999, Viking Global Investors (“Viking”) is a global investment firm with a long-term, fundamental, research-intensive approach to investing. Viking manages over $53 billion of capital across public and private investments. Viking has offices in Stamford, New York, Hong Kong, London, and San Francisco, and is registered as an investment adviser with the U.S. Securities and Exchange Commission. For more information, please visit www.vikingglobal.com.
JOB FUNCTION The Regulatory Counsel will serve as a strategic hire within our Legal and Compliance team, working primarily on providing regulatory, legal, and compliance guidance regarding material nonpublic information (MNPI), research (including sell-side research, custom research and surveys, alternative data, and webscraping), use of AI, trade surveillance, other securities law and Investment Advisers Act matters, and other elements of the firm’s compliance program. The role also involves moderate litigation management. The Regulatory Counsel will report directly to the Chief Compliance Officer & Counsel, while working closely with the General Counsel and other members of the Legal & Compliance team. The position offers significant growth potential and mentorship opportunities.
RESPONSIBILITIES
Advising on the potential receipt of MNPI, the firm’s controls on both the public and private side, structuring new engagements with such considerations in mind, and other securities law issues
Diligencing research vendors and other research sources, advising on custom research and webscraping projects, and negotiating research contracts
Collaborating on the firm’s AI-focused capabilities and onboarding of AI tools
Compliance program workflows, including testing, recordkeeping, surveillance, policies and procedures, and regulatory examination matters
Additional responsibilities may include general legal matters such as consulting agreements, confidentiality agreements, and other miscellaneous matters as needed.
QUALIFICATIONS The ideal candidate will have:
JD and outstanding record of achievement from a highly regarded law school
Membership in the New York bar in good standing
4+ years of work experience at a top-tier corporate law firm, in-house financial services role, US attorneys’ office, or securities regulator
Securities litigation or similar experience is required; familiarity with the Investment Advisers Act is a strong plus
Experience with MNPI and research in the investment management context is highly desirable
The ideal candidate possesses the following traits:
Strong legal and analytical skills:
an ability to think critically and creatively about processes to streamline workflow and ensure maximum accuracy
Sound judgment and excellent risk assessment skills:
we deal with complex issues and require a high level of rigor in our approach to problem‑solving
Strong communication:
excellent written and verbal communication skills are required to articulate legal positions and strategies concisely and quickly, including to non‑lawyer clients, and inspire confidence in the accuracy of legal conclusions
Excellent interpersonal skills:
we value the ability to interact effectively at all levels of the organization and across departments
High integrity, strong moral principles, and an ability to deliver advice:
intellectual honesty and the ability to deliver advice in a confident, non‑confrontational way are critical for success
Strong organizational skills:
we manage large amounts of records and information
Adaptability and willingness to learn:
the ideal candidate will be excited to take on various responsibilities across the legal and compliance spectrum
The base salary range for this position in New York City is $250,000 to $300,000. In addition to base salary, Viking employees may be eligible for other forms of compensation and benefits, such as a discretionary bonus, 100% coverage of medical and dental premiums, and paid lunches. Actual compensation for successful candidates will be individually determined based on multiple factors including, but not limited to, a candidate’s skill set, experience, education, and other qualifications. For more information on our benefits, please visit www.vikingglobal.com/life-at-viking.
Viking is an equal opportunity employer. Questions about your candidacy and requests for reasonable accommodation in the recruitment process should be directed to recruiting@vikingglobal.com.
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JOB FUNCTION The Regulatory Counsel will serve as a strategic hire within our Legal and Compliance team, working primarily on providing regulatory, legal, and compliance guidance regarding material nonpublic information (MNPI), research (including sell-side research, custom research and surveys, alternative data, and webscraping), use of AI, trade surveillance, other securities law and Investment Advisers Act matters, and other elements of the firm’s compliance program. The role also involves moderate litigation management. The Regulatory Counsel will report directly to the Chief Compliance Officer & Counsel, while working closely with the General Counsel and other members of the Legal & Compliance team. The position offers significant growth potential and mentorship opportunities.
RESPONSIBILITIES
Advising on the potential receipt of MNPI, the firm’s controls on both the public and private side, structuring new engagements with such considerations in mind, and other securities law issues
Diligencing research vendors and other research sources, advising on custom research and webscraping projects, and negotiating research contracts
Collaborating on the firm’s AI-focused capabilities and onboarding of AI tools
Compliance program workflows, including testing, recordkeeping, surveillance, policies and procedures, and regulatory examination matters
Additional responsibilities may include general legal matters such as consulting agreements, confidentiality agreements, and other miscellaneous matters as needed.
QUALIFICATIONS The ideal candidate will have:
JD and outstanding record of achievement from a highly regarded law school
Membership in the New York bar in good standing
4+ years of work experience at a top-tier corporate law firm, in-house financial services role, US attorneys’ office, or securities regulator
Securities litigation or similar experience is required; familiarity with the Investment Advisers Act is a strong plus
Experience with MNPI and research in the investment management context is highly desirable
The ideal candidate possesses the following traits:
Strong legal and analytical skills:
an ability to think critically and creatively about processes to streamline workflow and ensure maximum accuracy
Sound judgment and excellent risk assessment skills:
we deal with complex issues and require a high level of rigor in our approach to problem‑solving
Strong communication:
excellent written and verbal communication skills are required to articulate legal positions and strategies concisely and quickly, including to non‑lawyer clients, and inspire confidence in the accuracy of legal conclusions
Excellent interpersonal skills:
we value the ability to interact effectively at all levels of the organization and across departments
High integrity, strong moral principles, and an ability to deliver advice:
intellectual honesty and the ability to deliver advice in a confident, non‑confrontational way are critical for success
Strong organizational skills:
we manage large amounts of records and information
Adaptability and willingness to learn:
the ideal candidate will be excited to take on various responsibilities across the legal and compliance spectrum
The base salary range for this position in New York City is $250,000 to $300,000. In addition to base salary, Viking employees may be eligible for other forms of compensation and benefits, such as a discretionary bonus, 100% coverage of medical and dental premiums, and paid lunches. Actual compensation for successful candidates will be individually determined based on multiple factors including, but not limited to, a candidate’s skill set, experience, education, and other qualifications. For more information on our benefits, please visit www.vikingglobal.com/life-at-viking.
Viking is an equal opportunity employer. Questions about your candidacy and requests for reasonable accommodation in the recruitment process should be directed to recruiting@vikingglobal.com.
#J-18808-Ljbffr