Senior Legal Counsel

Senior Legal Counsel

About the Company

A well-established investment management firm seeking legal counsel for its growing advisory platform.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Senior Legal Counsel to provide essential legal support for its expanding advisory platform. The successful candidate will be responsible for offering day-to-day legal guidance on a wide range of investment advisory matters, with a particular focus on the Investment Advisers Act of 1940 and related rules, as well as the Securities Act of 1933 and the Securities Exchange Act of 1934. This role involves close collaboration with various internal teams, including Compliance, Investments, Operations, and senior leadership, and requires a deep understanding of regulatory compliance and securities law issues. Key responsibilities for the Senior Legal Counsel include providing legal advice on advertising and marketing rules, fiduciary duty considerations, disclosures, and conflicts of interest under the Investment Advisers Act. The role also encompasses supporting the firm's securities law needs, reviewing and negotiating a variety of legal agreements, and partnering with the Compliance function on regulatory initiatives and inquiries. The ideal candidate will have a J.D. from an accredited law school, a minimum of 4 years' of legal experience with a strong focus on the relevant acts and SEC rules, and a proven track record of working in a fast-paced, cross-functional environment. Strong drafting, issue-spotting skills, and the ability to translate complex regulatory concepts into clear guidance are essential, as is a collaborative and solutions-oriented approach.

Travel Percent
Less than 10%

Functions

• Legal