Head of Legal

Head of Legal

About the Company

A leading investment manager with a registered funds platform.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Head of Legal to provide senior legal leadership and support for its registered funds platform, which includes mutual funds and ETFs. The successful candidate will be the primary legal partner to the funds Board, offering strategic and practical guidance on a wide range of matters, including product, distribution, governance, regulatory, and board issues. Key responsibilities for this role include serving as the head legal advisor to the registered funds business, acting as the main point of contact for the Funds Board, advising on '40 Act and related regulatory matters, and providing legal counsel on fund operations and lifecycle issues. The Head of Legal will also be involved in supporting compliance and regulatory initiatives, reviewing and advising on fund-related agreements, and driving process improvements for legal coverage. Applicants for the Head of Legal position at the company should have a minimum of 8 years' legal experience, with a substantial focus on mutual funds, registered investment companies, '40 Act matters, and ETFs. The role requires a candidate with a strong understanding of the legal and regulatory framework applicable to registered funds, as well as experience in advising and supporting fund boards. The ideal candidate will be a confident, responsive, and solutions-oriented senior advisor with excellent judgment, and possess strong communication skills for partnering with senior business stakeholders. A JD is required, with active bar membership in good standing, and preferred experience includes a background 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 stakeholders through regulatory or governance changes are also desirable.

Travel Percent
Less than 10%

Functions

• Legal