Job Description

Key Responsibilities:

Legal & Documentation Review   

• Fund/Product Review: provide legal advice and conduct detailed reviews of documentation for investment products offered to clients, which may include registered funds , private funds (e.g., hedge funds, private equity, venture capital that qualify for exemption from ’40 Act registration), and separate account programs.
• Contract Drafting & Negotiation: draft, review, and negotiate critical agreements, including:
  • Investment advisory agreements and client service contracts.
  • Third-party vendor, sub-advisory, and distribution agreements.
  • Fund administrator agreements.
• Disclosure Filings: Assist in the preparation, review, and filing of key regulatory documents, including Form ADV (Parts 1 and 2), and other SEC filings, ensuring accuracy and timely submission.
• Marketing & Communications Review: Review all public communications, marketing materials, sales literature, performance reports, and client correspondence to ensure compliance with SEC/FINRA advertising rules, focusing on proper risk disclosure and absence of misleading statements.

Policy Development & Compliance Oversight 

• Policy Creation: Lead the drafting, updating, and implementation of the firm's core legal and compliance policies and procedures, including:
• Code of Ethics and personal trading policies (Rule 204A-1).
• Compliance Manual and supervisory procedures (Rule 206(4)-7 / Rule 38a-1).
• Conflicts of Interest Policies
• Reg BI
• Annual Compliance Review: Support the annual Rule 206(4)-7 review process for the Investment Adviser, including documentation, testing, and preparation of the Chief Compliance Officer (CCO) annual report.
• Regulatory Guidance: Act as an internal subject matter expert, providing timely and pragmatic legal advice to business stakeholders on new regulatory developments and their impact on the wealth management operations.
• Training & Education: Develop and deliver mandatory legal and compliance training (e.g., annual compliance, insider trading) to employees across the advisory business.

Critical Competencies

• Entrepreneurial Mindset: Ability to thrive in an environment with limited resources and build processes from the ground up.
• Pragmatic Judgment: Must be able to balance regulatory requirements with business objectives, providing commercially viable solutions rather than just identifying risks.
• Operational Execution: Willingness to move beyond traditional legal advisory duties to actively manage compliance processes and systems required for a lean operation.

Qualifications

• Juris Doctor (J.D.) from an accredited law school. Member in good standing of at least one U.S. State Bar.
• Minimum 5-8 years of legal experience, preferably in-house legal or compliance department of an asset manager, or a regulatory agency.
• Deep, working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Strong familiarity with other securities laws, including the Securities Act of 1933 and the Securities Exchange Act of 1934.
• Ability to interpret complex regulatory text and translate it into practical business policies and advice. Excellent drafting and negotiation skills.
• Series 7 and 24 preferred but not required.

Wolfe Research we feel passionately about equal pay for equal work and pay transparency is an integral practice for that. The compensation for this role is market competitive with a base salary range of $175,000-$250,000. We intend to offer the selected candidate a base salary within this range, based on non-discriminatory factors including but not limited to skill set, job-related experience, and location. In addition, we offer an annual discretionary incentive bonus and competitive employee benefits including: medical, dental and vision coverage; life, accident and disability insurance. Wolfe also offers paid time off packages that include vacation, sick days/leave, paid holidays and paid parental leave.

  About Wolfe:

Wolfe Research, LLC is a premier independent sell-side research firm with a commitment to best-in-class content and ongoing strategic growth. We produce the most objective and distinguished research across our covered sectors, and deliver our services with intense care and specificity to each of our institutional clients. We strive for excellence in every facet of our business, and we will continue to differentiate ourselves by maintaining the highest standards for effort, client service, thoughtfulness, and integrity. Wolfe remains committed to providing a home for the top-ranked, most innovative and inspired analysts and sales people, and places significant emphasis and resources on mentoring talent.

The firm has established a leading reputation for sector and macro research. Our QES product provides leading stock selection models, cutting edge portfolio analytics and hedging tools, highly ranked ESG product, and back-tested alternative data. Wolfe Research’s analysts were voted #6 on a weighted basis for equity research during 2025 by institutional clients in the prestigious “Institutional Investor” All-America Research Poll, trailing only significantly larger bulge bracket firms, who have historically not been viewed as our peers.We strive for excellence in every facet of our business, and we will continue to differentiate ourselves by maintaining the highest standards for effort, client service, thoughtfulness, and integrity. Wolfe remains committed to providing a home for the top-ranked, most innovative and inspired analysts and sales people, and places significant emphasis and resources on mentoring talent.

For more information about Wolfe Research, please visit us at: 

Wolfe Research recruits, employs, trains, compensates and promotes regardless of race, religion, color, national origin, gender identity or sexual orientation, disability, age, citizenship or other characteristics. At Wolfe Research, we strive to be the place where a diverse mix of talented people want to come, to stay and do their best work. We pride ourselves on bringing integrity and objectiveness to our research process and we know our company’s biggest strength is the hard work, collaboration and diverse views and opinions of our passionate and creative employees. We are fully focused on equality and believe deeply that diversity of race, gender, sexual orientation, religion, ethnicity, national origin and all the other fascinating characteristics that make us different, also make us stronger.

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