Norm AI Associate in Investment Funds Regulatory at Norm AI advising on formation, registration, compliance, and governance of registered investment companies and advisers. Utilize AI tools to enhance legal regulatory workflows.
Responsibilities
Regulatory Filings & Disclosure: Leverage AI agents to generate, compare, and redline Form ADV registrations, and other regulatory filings.
Marketing Rule Review: Use AI tools to review marketing materials, pitch decks, and performance presentations against the Marketing Rule, and advise on track record and portability questions.
Formation & Transaction Support: Partner with our private fund formation and tax teams on live fund launches, and advise on the regulatory implications of adviser M&A, spin-outs, etc.
SEC Examinations & Inquiries: Represent advisers through SEC examinations, document requests, and follow-up, using AI tools to move quickly through large productions on valuation, conflicts, fees and expenses, and marketing.
Client Advisory: Partner with clients to demonstrate how AI-assisted workflows improve accuracy, transparency, and turnaround.
Collaboration with Tech: Work closely with the technology teams to continue to make regulatory workflows even more efficient using AI.
Qualification
Core QualificationsJuris Doctor (JD) or equivalentWhat Success Looks Like30 Days60 Days90 Days
Required
Core Qualifications
Juris Doctor (JD) or equivalent; admission in at least one U.S. jurisdiction.
4 to 6 years of investment funds regulatory experience.
Hands-on experience with Marketing Rule reviews and with SEC examinations, and the ability to talk in detail about both.
Strong drafting and communication skills; meticulous attention to detail.
Interest in applying technology to enhance traditional deal workflows.
No prior AI or technical experience required.
What Success Looks Like
30 Days: Learn firm AI platforms; begin supporting deal teams using AI-enabled review and drafting.
60 Days: Independently manage discrete components of deals with AI support.
90 Days: Lead AI-augmented workstreams in live transactions, improving efficiency and accuracy in document management and closing processes.
