Corporate Counsel

ShortList Recruitment Limited; United States; Remoto; USD 120.000 - 160.000; Tempo pieno

Descrizione del lavoro

ShortList Recruitment Limited is seeking a Corporate Counsel for a fully remote role within a national financial services firm. You will be the in-house legal lead, focusing on commercial contracts and corporate matters while supporting the Investment Advisers Act compliance programme.

Ideal candidates have approximately two to three years of legal experience with SEC compliance exposure and are comfortable working directly with the CEO, sales, finance, and outside counsel to manage regulatory

Competenze

• 2–3 years of legal experience with exposure to SEC compliance or registered investment adviser regulatory requirements.
• Experience reviewing and drafting client, vendor, confidentiality and consulting agreements.

Mansioni

• Act as the primary internal legal resource for day-to-day corporate and commercial matters; escalate specialised issues to CEO or outside counsel.
• Review, draft and manage client, vendor, confidentiality and consulting agreements, including renewals and amendments.
• Partner with sales, finance and business leaders to resolve contract issues and find practical solutions.
• Serve as the main point of contact for outside counsel, coordinating matters and managing legal spend.
• Support Investment Advisers Act compliance programme, including regulatory filings and annual compliance reviews.
• Review marketing materials and client communications against SEC advertising rules.
• Help prepare for SEC examinations and track regulatory developments relevant to the business.
• Support corporate governance, board materials, entity maintenance and corporate projects.
• Build and maintain contract templates, playbooks and tracking tools for the legal function.

Conoscenze

SEC compliance exposure

Commercial contracts management

General corporate governance

Regulatory awareness

Formazione

Juris Doctor

Descrizione del lavoro

ShortList is looking for a Corporate Counsel to join an established, independent financial services firm. The firm has a national client base and a long track record of steady growth. The Corporate Counsel will be the firm's in-house legal lead and reports directly to the Chief Executive Officer. This is a fully remote position.

This role would suit someone with approximately two to three years of legal experience who has already had meaningful exposure to SEC compliance matters or the regulatory requirements of a registered investment adviser, and who wants to move from a larger legal or compliance team into a role with genuine ownership. You will split your time between commercial contracts and general corporate work for the business, and supporting the firm's Investment Advisers Act compliance programme alongside the Chief Compliance Officer.

Key Responsibilities for the Corporate Counsel role:

• Act as the primary internal legal resource for day-to-day corporate and commercial matters, escalating specialised issues to the Chief Executive Officer or outside counsel
• Review, draft and manage client, vendor, confidentiality and consulting agreements, including renewals and amendments
• Partner with sales, finance and business leaders to resolve contract issues and find practical solutions
• Serve as the main point of contact for outside counsel, coordinating matters, preparing first drafts and managing legal spend
• Support the Investment Advisers Act compliance programme, including regulatory filings, the annual compliance review, policies and procedures and the Code of Ethics
• Review marketing materials and client communications against SEC advertising rules
• Help prepare for SEC examinations and track regulatory developments relevant to the business
• Support corporate governance, board materials, entity maintenance and corporate projects as needed
• Build and maintain contract templates, playbooks and tracking tools for the legal function

Key skills for the Corporate Counsel role:

• Juris Doctor from an accredited law school and admission to at least one US state bar
• Approximately two to three years of legal experience with direct exposure to SEC compliance, a registered investment adviser, investment management, securities regulation or a similarly regulated financial services business
• Working knowledge of commercial contracts and general corporate matters
• Familiarity with the Investment Advisers Act of 1940 and the SEC rules that apply to registered investment advisers
• Clear written and verbal communication, with the ability to explain regulatory requirements to executives and non-lawyers
• Strong organisation and attention to detail, with the ability to manage recurring regulatory deadlines
• A practical, business-minded approach to legal and compliance questions
• Hands-on experience with Form ADV, annual compliance reviews, marketing review or SEC examinations is strongly preferred

This role is ideal for someone a few years into their legal career who wants direct exposure to a Chief Executive Officer, real ownership of a legal function, and room to grow with the business.

This is a fully remote role open to candidates anywhere in the United States. Candidates must be authorised to work in the United States. Sponsorship is not available for this position.