Senior Legal Counsel

Senior Legal Counsel

About the Company

Well-established investment management firm seeking legal counsel for advisory and securities matters.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Senior Legal Counsel to join its team. The successful candidate will be responsible for providing 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 offering legal advice on advertising and marketing rules, fiduciary duty considerations, disclosures, and conflicts of interest, and supporting the firm's securities law needs, including offering and disclosure considerations, reporting obligations, and investor communications. The Senior Legal Counsel will also be involved in reviewing, drafting, and negotiating various legal agreements and documentation, and will partner with the compliance function on regulatory initiatives and inquiries. Applicants for the Senior Legal Counsel position at the company should hold a J.D. from an accredited law school and have a minimum of 4 years' of legal experience, with a strong focus on the relevant securities and investment advisory regulations. The role requires a candidate with experience in a law firm or in-house at an investment manager, adviser, broker-dealer, or financial services firm. Strong drafting and issue-spotting skills are essential, as is the ability to work cross-functionally in a fast-paced environment and to provide clear, actionable guidance on complex regulatory concepts. The ideal candidate will have high integrity, sound judgment, and a collaborative, solutions-oriented approach. Responsibilities also include monitoring regulatory developments, enhancing internal governance, and training on legal and compliance controls across the advisory business.

Functions

• Legal