SVP, Registered Funds Counsel

Exciting opportunity to join growing legal team of rapidly growing financial services firm. Role will focus on registered funds matters as firm continues to launch new products and expand.

Client Details

FinTech client operating within the alternative investment space.

Description

• Negotiate various agreements with counterparties including distributors, service providers, fund managers and BDCs, non-traded REITs, private REITs, and other closed-end funds registered under the 1940 Act.
• Draft and review of registered fund offering materials, and private fund legal documentation.
• Assist regulatory and compliance with the substantive provisions of the 1933 and 1940 Act, including those governing affiliated transactions, fund-of-fund arrangements, and advisory and distribution contracts.
• Advise on the legal implications of offering new and existing products and services.
• Coordinate use of outside legal counsel with respect to a variety of issues including regulatory, corporate and fund investment work.
• Review materials for SEC and FINRA compliance.
• Draft and review various contracts, non-disclosure agreements and other legal documentation.
• Perform ad hoc research projects.

Profile

• 7+ years of fund formation experience within the registered fund or mutual fund space
• Strong knowledge of the 1933 and 1940 Act
• Member in good standing of New York Bar or another state or jurisdiction
• Law firm or in-house experience at an asset management firm is a plus
• 1934 act experience a plus
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• Organized and detail-oriented with big picture capabilities

Job Offer

• Hybrid working environment
• Competitive base salary
• Bonus
• Equity
• Unlimited PTO and parental leave
• 100% employer paid dental, vision, telemedicine
• 401K match

Page Executive is the global executive search, senior leadership recruitment, and executive advisory arm of PageGroup plc.

PageGroup PLC was established in the United Kingdom in 1976. With over 45 years of experience, PageGroup is a globally recognized leader in professional recruitment.

Operating across 36 markets with more than 130 offices, our expertise spans multiple industries and job functions. We provide tailored recruitment solutions through four distinct brands.