Senior Legal Counsel - Established Investment Management Firm

Key Responsibilities

• Advises on legal and regulatory matters related to registered investment companies, including mutual funds, ETFs, and other '40 Act products.
• Supports the launch, operation, and ongoing maintenance of registered funds, including fund restructurings, new product initiatives, and regulatory filings.
• Provides guidance regarding Investment Company Act, Investment Advisers Act, SEC rules, and other applicable regulatory requirements.
• Drafts, reviews, and negotiates fund-related documentation, including registration statements, shareholder communications, board materials, and service provider agreements.
• PARTNER CLOSELY WITH COMPLIANCE, PRODUCT, OPERATIONS, AND BUSINESS TEAMS TO ADDRESS LEGAL AND REGULATORY CONSIDERATIONS IMPACTING REGISTERED PRODUCTS.
• ASSIST WITH BOARD GOVERNANCE MATTERS AND INTERACTIONS WITH FUND TRUSTEES AND EXTERNAL COUNSEL.

Qualifications

• J.D. from an accredited law school and admission to practice law in at least one U.S. jurisdiction.
• Minimum 3 years of experience advising on registered funds, mutual funds, ETFs, or other Investment Company Act of 1940 matters.
• Experience gained at a law firm, asset manager, investment adviser, or financial services organization.
• Strong knowledge of federal securities laws, including the Investment Company Act of 1940 and Investment Advisers Act of 1940.
• Ability to work independently while partnering effectively with business and legal stakeholders.

Preferred Experience

• Experience supporting ETF products and related regulatory requirements.
• Familiarity with SEC filings and fund disclosure documents.
• Background advising asset managers, investment advisers, or fund complexes.

Compensation

Competitive compensation package, annual bonus opportunity, and comprehensive benefits offered.