Associate General Counsel - 40 Act
An Investment Management firm based in Chicago that specializes in retirement & benefits planning and fund management is looking to bring onboard an Assistant General Counsel to support their Investments business. This role offers the chance to provide strategic guidance to the Investment department on matters related to their investment advisory and investment management functions, including fund formation & restructuring, and advising on matters related to the Investment Company Act of 19040 and the Investment Advisors Act of 1940. This is a lean team that provides legal counsel to other functional areas and departments across the business as needed.
Responsibilities:
- Provide legal guidance to the Investments team on fund formation and restructuring, fee structures, investment and sub-manager engagements, and regulatory compliance
- Provide legal expertise on matters related to the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and other securities regulations
- Review, negotiate, and draft agreements and contracts for the Investment and Treasury departments
- Provide additional support in a corporate secretary function as well by handling corporate governance matters for investment-facing board and committee activities
Qualifications:
- At least 5+ years of experience practicing law in an investment management or investment advisory function
- Deep knowledge of securities laws & regulations, specifically related to the Investment Company Act of 1940 and Investment Advisers Act of 1940
- Prior experience and knowledge of sustainable investing
- JD degree from reputable law school
- Admitted to the Illinois State bar
- Ability to come onsite to the firm's Chicago office on a hybrid schedule
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