General Counsel

Metrics Recruitment; United States; On-site; USD 150,000 - 200,000; Full time

Job summary

A financial services firm is seeking a General Counsel to oversee the legal obligations related to their investment platform. This executive role includes managing SEC compliance, corporate governance, and capital markets transactions. The ideal candidate will have 7–12 years of experience in asset management law, strong governance skills, and the ability to create efficient legal processes within a growing organization. This position requires excellent communication and judgment skills, along with hands-on experience in public company legal matters.

Qualifications

• 7–12+ years of experience in asset management legal, registered funds, or listed investment vehicles.
• Hands-on experience with public company governance and disclosure.
• Deep familiarity with applicable SEC issues.

Responsibilities

• Own all SEC and exchange-related obligations pre- and post-listing.
• Manage board and committee governance.
• Oversee compliance with applicable regulations and laws.

Skills

Experience in asset management legal

Public company governance and disclosure

Knowledge of compliance policies

Capital markets literacy

Strong written communication

Judgment and confidentiality instincts

Job description

At Metrics we are looking for a General Counsel for our client, a ~$150M investment platform focused on embodied AI and robotics. The firm is preparing to list a publicly traded closed-end fund (tender offer structure) and is building the institutional infrastructure required to operate as a disciplined, compliant, public-market vehicle.

This is a hands‑on executive role for a legal leader who has operated inside public or registered fund structures and is comfortable owning both strategic oversight and day‑to‑day execution.

The General Counsel will serve as the primary legal owner for the publicly traded closed‑end fund and affiliated entities, acting as Corporate Secretary and de‑facto Chief Compliance Officer.

This role is responsible for building a lean, durable legal operating system that ensures regulatory compliance, board governance discipline, and efficient capital markets execution while maintaining commercial speed.

GENERAL COUNSEL

Reports to

CEO/CIO + COO

Level

Executive

Key Responsibilities

Public Markets & SEC Oversight

• Own all SEC and exchange‑related obligations pre‑ and post‑listing.
• Lead ongoing public disclosure cadence (quarterly, annual, and event‑driven filings).
• Serve as the primary internal counterpart to external securities counsel and regulators.
• Oversee disclosure controls and material event processes.
• Ensure Reg FD discipline across investor and marketing communications.

Governance & Corporate Secretary Duties

• Manage board and committee governance, including:
  • Agendas, resolutions, minutes, and approvals.
  • Charters, policies, and governance calendar.
• Maintain corporate records and ensure clean audit and board materials.
• Establish a predictable cadence for approvals, reporting, and compliance oversight.

Fund & Regulatory Compliance

• Oversee applicable ’40 Act, Securities Act, and Exchange Act requirements.
• Manage code of ethics, compliance policies, and training programs.
• Coordinate with external fund administrators and compliance providers.
• Support regulatory examinations or reviews as required.

Capital Markets & Strategic Transactions

• Support equity capital markets structures including ATM facilities, equity lines, and related offerings.
• Review and manage transaction documentation, side letters, and investment‑related agreements.
• Partner with future Head of Capital Markets and finance leadership to ensure compliant execution of fundraising and distribution initiatives.

Legal Operations & Cost Discipline

• Own the legal budget and rationalize external counsel spend.
• Manage outside law firms efficiently, preventing scope creep and duplication.
• Develop internal templates, playbooks, and contracting guardrails to streamline recurring transactions.
• Build a scalable legal process as the organization grows.

Cross-Functional Partnership

• Partner closely with finance, IR, investing, and operations teams.
• Provide pragmatic risk framing to enable speed to market (“yes, if…” approach).
• Support commercial contracting and vendor agreements.
• Maintain discretion and judgment around sensitive portfolio and investor matters.

Qualifications

• 7–12+ years of experience in asset management legal, registered funds, or listed investment vehicles.
• Hands‑on experience with public company governance and disclosure.
• Deep familiarity with ’40 Act, Securities Act, and Exchange Act issues (as applicable).
• Experience managing SEC reporting processes and board governance.
• Capital markets literacy, including familiarity with ATM programs and related equity structures.
• Proven ability to build practical, lean legal processes in a growth environment.
• Strong written communicator with excellent judgment and confidentiality instincts.
• Comfortable operating as a sole in‑house legal leader within a small team.