Associate Corporate Counsel
Job Description
You will provide day-to-day legal support across investment management and brokerage businesses, including:
- 40 Act registered funds, including open-end mutual funds and related structures
- Registered investment adviser (RIA) compliance and operations
- Broker-deal regulatory and transactional matters
You will advise on federal securities laws, including the Investment Company Act of 1940, Investment Advisers Act of 1940, and FINRA rules
You will support the development, launch, and ongoing operations of investment products and platforms
You will review and draft a broad range of documents, including:
- Fund governance materials (board materials, policies, and procedures)
- Advisory, sub-advisory, and distribution agreements
- Compliance manuals, disclosures, and client communications
You will partner closely with Compliance, Risk, and business stakeholders on regulatory initiatives and examinations
You will assist in regulatory inquiries, examinations, and responses (SEC, FINRA, state regulators)
You will monitor legal and regulatory developments and proactively advise on impacts to the business
You will contribute to the build-out of legal processes, controls, and best practices for a newly formed legal function
Education & Experience Requirements
- Juris Doctor (JD) from an accredited law school and active bar membership in good standing
- 3-6 years of relevant experience at a law firm and/or in-house legal department
- Demonstrated experience with:
- 40 Act mutual funds and fund governance
- Registered investment adviser regulation
- Broker-dealer legal and regulatory frameworks
- Strong working knowledge of federal securities laws and regulatory structures (SEC, FINRA)
- Experience drafting and negotiating investment management-related agreements
- Strong analytical and problem-solving skills with a practical, business-oriented mindset
- Ability to manage multiple priorities in a fast-paced environment
- Excellent written and verbal communication skills
- High level of professionalism, judgment, and integrity
- Familiarity with regulatory exams and interaction with regulators is a plus