Registered Funds In-House Counsel Role | NYC

Greene-Levin-Snyder Legal Search Group; New York (NY); On-site; USD 210,000 - 240,000; Full time

Job summary

Greene-Levin-Snyder Legal Search Group represents a publicly traded financial services company in Midtown Manhattan, seeking a Director, Associate Counsel, Wealth with 2-4+ years of registered funds experience.

The attorney will support US registered funds, sub-advisory relationships, and other retail products, including separately managed accounts and model-based programs, focusing on contracts, distribution, product development, marketing and sales practices.

Qualifications

• Knowledge of securities laws applicable to registered investment companies (Investment Company Act of 1940).
• Experience with mutual funds, closed-end funds and other registered funds is required or strongly preferred.
• Experience with in-house, regulatory agency and/or leading law firm environments is a plus.

Responsibilities

• Provide legal support for US registered funds, sub-advisory relationships and other retail products.
• Assist with contracts, distribution, product development, marketing and sales practices.
• Collaborate with fund administration and compliance teams and advise on regulatory issues and general legal matters.

Skills

Securities law

Registered funds

Job description

Our client, a publicly traded financial services company and its affiliated investment advisors located in midtown Manhattan, is looking for a Director, Associate Counsel, Wealth with 2-4+ years of registered funds experience. This attorney will provide legal support for the firm’s US registered funds, sub-advisory relationships and other retail products, including separately managed accounts and model-based programs with an emphasis on contracts, distribution, product development, marketing and sales practices; will work closely with senior management, fund administration and the compliance team; and will handle regulatory issues and general legal matters.

The ideal candidate will have at least 2-4+ years of detailed knowledge of securities laws applicable to registered investment companies including the Investment Company Act of 1940 and experience with the mutual funds, closed-end funds and other registered funds. Experience with exchange-traded funds, separately managed accounts and model-based programs, sub-advisory relationships, compliance, ISDA Master Agreements and other ancillary documentation for derivatives business and with issues faced by Broker/Dealers are all major pluses. Candidates must have top credentials and experience from in-house, regulatory agency and/or a leading law firm.

This is a fantastic role reporting to a phenomenal manager (the Senior Vice President, Associate General Counsel – Wealth) at a stable public company that has a collegial, balanced work environment. There is great long-term potential and a clear path for advancement, as well as exposure to the General Counsel, C-suite executives and Board members.

Compensation will consist of a base of $210,000 to $240,000, as well as a discretionary, performance based annual cash bonus, restricted stock and a full suite of benefits. Hours are reasonable and predictable and the environment is collegial, professional and collaborative. They are in the midtown office 4 days a week and 1 day from home.