Registered Fund Counsel
SVP – Registered Funds Counsel, 40Act
Location: Hybrid – New York, NY or Greenwich, CT
A leading global financial services firm is seeking a senior attorney to join its legal team as SVP – Registered Funds Counsel. The company operates at the forefront of investment innovation, offering a dynamic and collaborative environment where legal professionals can make a significant impact on strategic initiatives and product development.
Responsibilities:
- Serve as primary legal advisor for registered fund products, including interval and tender offer funds
- Draft, review, and negotiate a wide range of agreements, such as:
- – Fund offering documents and related materials
- – Placement and distribution agreements
- – Vendor and service provider contracts
- Advise on compliance with the 1933 and 1940 Acts, including affiliated transactions and fund-of-fund structures
- Support product development, capital raising, and marketing initiatives from a legal perspective
- Review investor communications and marketing materials for SEC and FINRA compliance
- Coordinate with external counsel on regulatory, corporate, and fund-related matters
- Conduct legal research and provide guidance on emerging issues impacting registered funds
Experience:
- J.D. from an accredited law school and admission to a U.S. state bar in good standing
- Minimum 7 years of legal experience focused on registered funds and related regulatory matters
- Deep knowledge of the 1933 and 1940 Acts; familiarity with the 1934 Act is a plus
- Prior experience in a law firm or in-house at an asset management or financial services firm preferred
- Strong ability to negotiate complex agreements and communicate effectively with business teams
- Organized, detail-oriented, and capable of managing multiple priorities in a fast-paced environment
- Business-minded with a practical, solutions-oriented approach to legal issues
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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