Associate General Counsel - Mutual Funds

Neuberger Berman; New York (NY); On-site; USD 200,000 - 225,000; Full time

Benefits offered by this job

Discretionary bonus

Comprehensive benefits

Paid time off

Job summary

Neuberger Berman in New York seeks an experienced attorney to advise on the Investment Company Act of 1940 and U.S. registered funds, including mutual funds, ETFs, and closed-end funds. The role supports intermediary distribution and reports to the General Counsel – U.S.

Registered Funds. The attorney will advise portfolio managers, marketing and sales teams, and boards of trustees/directors, negotiate key contracts, and stay ahead of regulatory developments while delivering high client service

Qualifications

• Bachelor’s degree and JD required.
• New York State Bar membership (or waiver eligibility).
• At least 5 years of experience with U.S. registered funds and the Investment Company Act of 1940.
• Mutual Funds/1940 Act experience required.
• Experience working with boards of trustees/directors preferred.
• Experience with intermediary relationships for U.S. registered products a plus.
• Ability to work independently and seek guidance when needed; strong communication with senior management.
• Authorized to work in the United States without current or future sponsorship.

Responsibilities

• Provide ongoing advice regarding structuring and maintaining registered investment vehicles and registration statements.
• Advise internal clients on regulatory matters related to business initiatives.
• Foster productive relationships with regulators, clients, and boards with responsive service.
• Prepare materials for boards of trustees/directors on routine and ad hoc matters.
• Draft and negotiate investment management, intermediary distribution, NDAs, and service-provider agreements.
• Stay updated on regulatory developments and implement rules accordingly.
• Review marketing materials and client requests; respond to RFPs.
• Adjust responsibilities to changing priorities while managing timelines.

Skills

Regulatory compliance

Legal advisory

Contract negotiation

Communication with senior management

Independent work

Education

Bachelor’s degree

JD

Job description

Overview

Neuberger is seeking an experienced attorney in the Investment Company Act of 1940 to join its New York-based Legal and Compliance Team. This position will provide legal advice and support on Neuberger Berman’s U.S. registered fund business, including mutual funds, exchange-traded funds and closed-end funds. The lawyer will also support intermediary distribution efforts. The role reports to the General Counsel – U.S. Registered Funds. This is an exceptional opportunity for a well-rounded investment management attorney who enjoys working on many different sophisticated matters, seeks substantial business team and client contact, and is a team player.

Responsibilities

• Provide ongoing advice with respect to structuring and maintaining registered investment vehicles, including preparation and ongoing review of registration statements.
• Advise internal business clients, including portfolio managers, marketing and sales personnel, on legal and regulatory matters related to current and proposed business and operational initiatives.
• Ensure productive relationships with regulators and internal and external clients and boards of trustees/directors by demonstrating superior responsiveness and client service.
• Prepare materials for boards of trustees/directors on routine and ad hoc legal and compliance matters.
• Draft and negotiate various contracts, including: (i) investment management agreements; (ii) intermediary distribution and servicing agreements; (iii) non-disclosure agreements; and (iv) agreements with service providers.
• Stay abreast of new regulatory developments and act as a liaison in the implementation of rules and regulations.
• Review marketing materials and other client communications, including client information requests and requests for proposals.
• Adjust job responsibilities to accommodate changing priorities while managing multiple requirements and timelines.

Qualifications

• Bachelor’s degree and JD required
• Member of the New York State Bar (or the ability to waive in)
• At least 5 years of experience working with U.S. registered funds and the Investment Company Act of 1940 at a major U.S. law firm or with an in-house legal department
• Mutual Funds/1940 Act experience required
• Experience working with boards of trustees/directors of U.S. registered products strongly preferred
• Experience working on intermediary relationships for U.S. registered products a plus
• Capable of working independently but with the ability to recognize when to seek guidance in complex situations
• Pro-active approach with the ability to engage with and communicate effectively with senior management
• Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

Compensation and Benefits

The salary range for this role is $200,000–$225,000. The role is eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of the total compensation package. The company may adjust the range in the future. A comprehensive benefits package includes paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits to eligible employees.

We are an equal opportunity employer. The Firm and its affiliates do not discriminate in employment based on race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by law. If you need accessibility assistance, contact [e-mail]. Learn about the Applicant Privacy Notice.

Founded in 1939, Neuberger is a private, independent, employee-owned investment manager with offices in 40 cities worldwide and $567 billion in client assets (as of March, 2026). The firm employs thousands of staff and investment professionals dedicated to client outcomes and investment excellence. Neuberger is recognized as a top employer by industry publications.