The Firm:
An established Investment Firm handling more than $10billion in assets under management, including permanent capital is sourcing for a legal counsel to join their in-house team. The firm pursues multiple strategies in the US, including direct lending, private equity, real estate private equity, and structured credit. It employs a long-term, value-oriented approach that uses fundamental bottoms-up research to identify investments offering attractive risk and reward.
With offices in New York City, Connecticut, and Florida, the firm is comprised of 140+ experienced professionals who value entrepreneurship, intellectual rigor, hard work, and continuous improvement.
Responsibilities:
The ideal candidate will have a JD degree from a top-tier institution and at least 3 years of relevant experience in the following areas:
- Compliance with the Securities Act of 1933 and Securities Exchange Act of 1934
- Securities compliance, particularly under the Investment Company Act of 1940
- Registered closed-end investment companies
- Business development companies (BDCs)
- Legal oversight of securities formation, regulatory filings, and operational compliance
- Contract and entity management for securities vehicles
- Institutional risk mitigation and securities law implications for investment funds
- Advising on regulatory developments impacting securities and REITs
- Special projects related to the firm's securities strategies and structuring
Preferred Experience:
- In-depth knowledge of the Investment Company Act of 1940, particularly as it applies to securities and other closed-end funds
- Strong understanding of legislative and regulatory changes impacting the firm's contracts and investment vehicles, with experience in contract negotiation and regulatory compliance
Individual Opportunity and Culture:
Opportunity for autonomy and personal growth in a high-performance, entrepreneurial, intellectually challenging, and vibrant investment firm, where personal and business goals are achieved and exceeded.
