Senior Legal Counsel

Senior Legal Counsel

About the Company

Well-established investment management firm with a growing advisory platform.

Industry
Investment Management

Type
Privately Held

About the Role

The Company is in search of a Senior Legal Counsel to join its team and provide essential legal support for its 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 SEC rules, as well as the Securities Act of 1933 and the Securities Exchange Act of 1934. This role involves ensuring compliance with advertising and marketing rules, fiduciary duty considerations, disclosures, and conflicts of interest, and requires a strong background in securities law. The Senior Legal Counsel will also be involved in the review, drafting, and negotiation of various legal agreements, and will work closely with the compliance, investments, operations, and senior leadership teams. Applicants for the Senior Legal Counsel position at the company should hold a J.D. from an accredited law school and be an active member of the bar in at least one U.S. jurisdiction. A minimum of 4 years' of legal experience, with a significant focus on the relevant securities laws, is required. The ideal candidate will have a background that includes experience at a law firm or in-house at a financial services firm, and must possess strong drafting and issue-spotting skills, as well as the ability to provide clear and actionable legal guidance. The role demands a high level of integrity, sound judgment, and a collaborative, solutions-oriented approach, with the ability to work effectively in a fast-paced, cross-functional environment. Responsibilities also include partnering with the compliance function on regulatory initiatives, monitoring regulatory developments, and helping to enhance internal governance and legal/compliance controls.

Functions

• Legal