Associate General Counsel - Asset Management

Job Description

Job Description

ETF + RIA Legal

Location: Chicago

Compensation: $175,000-$250,000 | Equity Options

About Corgi

Corgi is building a full-stack AI financial infrastructure company. We design, launch, and manage our own ETFs, and we underwrite and issue our own insurance products. Backed by Y Combinator with $268M raised, 34 live ETFs across 4 trusts, 90+ more in the pipeline, and a growing insurance operation spanning RRGs, captives, and an admitted carrier.

We run our own SEC-registered investment adviser. We file our own registration statements. We respond to our own SEC comment letters. We need someone who can own the legal side of all of that.

About the Role

You will be Corgi's first in-house investment management attorney. You'll own every legal deliverable across our ETF trusts and our RIA: SEC filings, comment letter responses, prospectus drafting, board governance, compliance program oversight, and service provider agreements. You'll work alongside our outside counsel and our CCO, but you are the in-house legal function.

This is not a role where you review redlines someone else drafted. This is a role where you're drafting the N-1A, negotiating the index license, prepping the board book, and picking up the phone.

What You’ll Do

· Own the SEC filing lifecycle across all Corgi ETF trusts: N-1A, 485A, 485(b), N-PORT, N-CEN, proxy statements, and annual updates.

· Draft, review, and negotiate prospectus and SAI disclosure for new fund launches and ongoing amendments.

· Lead SEC comment letter responses.

· Support RIA compliance program: Form ADV, code of ethics, compliance manual, annual compliance review, and regulatory examinations.

· Prepare and coordinate board and trustee materials: meeting agendas, resolutions, written consents, Section 15(c) packages, and governance documentation.

· Draft, review, and negotiate service provider agreements: custody, fund administration, distribution, index licensing, sub-advisory, ISDA/swap documentation, and AP agreements.

· Prepare exemptive relief applications and no-action letter requests.

· Review marketing materials and investor communications for 40-Act and Advisers Act compliance.

· Coordinate with outside counsel (Greenberg Traurig) and the outsourced CCO (Aspect Advisory) to manage legal and compliance workflows.

· Monitor regulatory developments affecting registered funds and investment advisers.

Who You Are

· JD from an accredited law school and active bar membership in at least one U.S. jurisdiction. Non-negotiable.

· 2-5+ years practicing investment management law at a fund-focused law firm, in-house at an asset manager, or at an ETF issuer. You know the '40 Act and/or the Advisers Act.

· You've drafted or substantially revised registration statements (Form N-1A) and responded to SEC staff comments. More than once.

· You've managed RIA compliance programs or worked closely enough with one to own it in-house: Form ADV, code of ethics, compliance testing, books and records.

· You move fast. We file more in a quarter than most emerging managers file in a year. If your instinct is to schedule a meeting about scheduling a meeting, this isn't the right fit.

Nice to Have

· Experience at a startup, emerging ETF issuer, or early-stage asset manager.

· Familiarity with leveraged, inverse, or derivatives-based ETFs (swaps, ISDA, futures-based products).

· Experience with exemptive relief applications under the '40 Act.

· Series 7, 63, 65, or 66 licenses.

· Prior SEC examination or enforcement experience (staff-side or defense-side)

· Insurance regulatory experience (captives, RRGs, state DOI filings).

Compensation Range: $175K - $250K