Senior Counsel – Private Funds & Regulatory Compliance

Neuberger Berman; Toronto; On-site; CAD 255,000 - 295,000; Full time

Job summary

Neuberger Berman Canada ULC seeks an experienced lawyer to lead regulatory and compliance matters for private funds and registered funds, advising on structuring, development and distribution in Canada and internationally.

The role requires deep knowledge of NI 31-103, 45-106, 81-102 and related US acts; strong governance, drafting, and negotiation skills, with 6–10 years of experience, including big-firm background. Toronto-based hybrid work supports a global firm.

Qualifications

• 6–10 years’ legal/regulatory experience, including in a large law firm.
• Extensive knowledge of Canadian NI 31-103, 45-106, 81-102 and 81-106.
• Knowledge of the U.S. Investment Advisers Act and CFTC/NFA preferred.
• Strong organizational and multi-tasking abilities.
• Ability to communicate with senior management and investment professionals.
• Independent and deadline-driven.

Responsibilities

• Structuring and advising on private funds including funds-of-one.
• Advising on registered funds under NI 81-106 and 81-102.
• Advising on investment advisory services agreements.
• Supporting structuring, development and distribution of products in Canada and abroad.
• Regulatory and compliance support with OSC, SEC, and NFA.
• Support corporate governance for Neuberger Berman Canada ULC board.
• Negotiating service provider and counterparty agreements.
• Reviewing RFPs, client questionnaires and marketing materials.
• Collaborating with Legal and Compliance and other control functions.
• Supervising outside counsel.

Skills

Regulatory compliance

Financial services

Governance

Negotiation

Communication

Multitasking

Education

Law degree / regulatory experience

Job description

Neuberger Berman Canada ULC seeks an experienced lawyer to lead regulatory and compliance matters for private funds and registered funds, advising on structuring, development and distribution in Canada and internationally.

The role requires deep knowledge of NI 31-103, 45-106, 81-102 and related US acts; strong governance, drafting, and negotiation skills, with 6–10 years of experience, including big-firm background. Toronto-based hybrid work supports a global firm.