Legal Counsel

Oliver James; Houston (TX); On-site; USD 150,000 - 230,000; Full time

Job summary

Oliver James Group seeks a Legal Counsel for Investment Management to advise on investment funds, securities law and regulatory matters, focusing on fund disclosure and SEC filings for mutual funds, closed-end funds and ETFs. You will work with Legal, Compliance, Investments and Finance teams.

You will oversee fund documentation, registration statements, prospectuses, and proxy materials; participate in mergers, reorganisations, product launches, shelf offerings and monitor regulatory

Qualifications

• JD and active bar membership.
• 4-6 years of relevant legal experience with investment companies.
• Strong understanding of the Investment Company Act of 1940 and Securities Act of 1933.
• Experience with SEC fund disclosure and filing requirements (N-1A, N-2, N-14, Schedule 14A).

Responsibilities

• Advise on fund registration statements, prospectuses, supplements, statements of additional information and private placement memoranda.
• Lead legal support for fund mergers, reorganisations, product launches, shelf offerings and related product changes.
• Advise on shareholder proxy initiatives, voting materials and shareholder meeting documentation.
• Review shareholder reports, SEC filings and other public disclosures (Forms N-CSR, N-CEN, N-PORT, N-PX).
• Support preparation and review of fund board materials and regulatory developments.

Skills

Legal experience

Education

Juris Doctor (JD)

Active bar membership

Job description

Legal Counsel - Investment Management

An established global asset management firm is seeking a Legal Counsel to join its Legal team, advising on a broad range of investment funds, securities law and regulatory matters. The role has a strong focus on fund disclosure and SEC filings, covering mutual funds, closed-end funds and ETFs. Working closely with Legal, Compliance, Investments, Finance, Distribution and other business teams, the successful candidate will provide practical, commercially focused advice and oversee key fund documentation and product initiatives. Responsibilities will include fund registration statements, prospectuses, supplements, shareholder reports and proxy materials, as well as fund mergers, reorganisations, product launches, shelf offerings and regulatory developments. This is an opportunity to work closely with senior legal and business stakeholders, take ownership of significant projects and gain broad exposure to investment management and securities law.

Key Responsibilities

Fund Disclosure & SEC Filings

• Advise on and oversee the preparation and review of fund registration statements, statutory and summary prospectuses, supplements, statements of additional information and private placement memoranda.
• Lead legal support for fund mergers, reorganisations, product launches, shelf offerings and other product changes.
• Advise on shareholder proxy initiatives, voting materials and shareholder meeting documentation.
• Review shareholder reports, SEC filings and other public disclosures, including Forms N-CSR, N-CEN, N-PORT and N-PX.
• Support the preparation and review of fund board materials.
• Monitor and implement regulatory developments, including engagement with regulators on proposed rule changes.

Regulatory Advice & Stakeholder Engagement

• Provide practical, commercially focused advice on investment company and securities law matters.
• Partner with internal legal teams, Compliance, Finance, Investments and external advisers, including auditors and fund and trustee counsel.
• Support regulatory implementation and wider legal and corporate initiatives.
• Build trusted relationships with senior legal leadership and business stakeholders, balancing legal risk with commercial priorities.

Candidate Requirements

• JD and active bar membership.
• 4-6 years' relevant legal experience, with a strong understanding of registered and unregistered investment companies.
• Solid knowledge of the Investment Company Act of 1940 and Securities Act of 1933.
• Experience with SEC fund disclosure and filing requirements, including Forms N-1A, N-2, N-14 and Schedule 14A.