Chief Legal Counsel

Chief Legal Counsel

About the Company

A leading investment manager seeking legal support for registered funds and ETFs.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Chief Legal Counsel to provide strategic and practical legal guidance for its registered funds platform, which includes mutual funds and ETFs. The successful candidate will serve as the senior legal leader for the funds business, acting as the primary legal partner to the funds Board and working closely with Independent Trustees and Trustee Counsel. Key responsibilities for this role include advising on core Investment Company Act of 1940 and related regulatory matters, providing legal counsel on fund operations and lifecycle issues, and supporting compliance and regulatory initiatives. The Chief Legal Counsel will also be instrumental in driving process improvements and establishing consistent governance frameworks for board support and registered funds legal coverage. Applicants must have a minimum of 8 years' legal experience with a substantial focus on mutual funds, registered investment companies, and '40 Act matters, including ETFs. The role requires a strong understanding of the legal and regulatory framework applicable to registered funds, as well as the ability to operate as a senior advisor with excellent judgment. The ideal candidate will have a JD and be an active member of the bar in good standing, with a preference for those who have experience in an investment manager legal team or a law firm practice focused on mutual funds and '40 Act products. Familiarity with board governance processes and experience in guiding cross-functional stakeholders through regulatory or governance changes are also desirable.

Travel Percent
Less than 10%

Functions

• Legal