About the Firm: Our client is a strongly backed asset management firm
Job Summary: Seeking an experienced and dynamic Assistant General Counsel to support the firm's legal and regulatory functions. This role requires someone with experience in public fund reporting, particularly in the context of public reporting companies, including under the 1934 Act and 1940 Act. The ideal candidate will have experience with investment vehicles such as ETFs, mutual funds, or entities regulated by the CFTC, and be comfortable navigating a wide range of regulatory issues that affect the asset management industry.
Key Responsibilities:
- Provide legal support for regulatory reporting, disclosure, and compliance matters related to public funds, including mutual funds, ETFs, and CFTC-regulated products.
- Assist in managing the firm's compliance with applicable securities laws, including the Securities Exchange Act of 1934 and the Investment Company Act of 1940.
- Collaborate with internal teams, including compliance, finance, and operations, to ensure that public filings, reports, and disclosures are accurate and timely.
- Assist with corporate governance matters, including drafting board resolutions, corporate minutes, and other legal documents as needed.
- Advise on regulatory changes affecting public funds and asset management businesses.
- Manage legal matters related to fund launches, product structuring, and fund distributions.
- Support the firm in dealing with regulatory agencies, including the SEC and CFTC, and respond to inquiries or examinations from these bodies.
- Review and negotiate various contracts and agreements related to investment products and services.
Qualifications:
- JD from an accredited law school.
- Minimum of 2 years of experience in securities law with a focus on public fund reporting and regulatory compliance, ideally in mutual funds, ETFs, or CFTC-regulated products.
- Strong knowledge of the Securities Exchange Act of 1934, the Investment Company Act of 1940, and other relevant regulatory frameworks.
- Experience with public fund filings, such as 10-Ks, 10-Qs, proxy statements, and registration statements.
- Excellent written and verbal communication skills with the ability to explain complex legal concepts to non-legal stakeholders.
- Strong attention to detail, organizational skills, and ability to manage multiple projects simultaneously.
- Ability to work collaboratively in a fast-paced, team-oriented environment.
Compensation: Competitive salary and benefits package commensurate with experience.
