4 дня назад
Legal Counsel (Investment Management)
160 000 - 175 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Legal Counsel (Investment Management): Advising on registered investment products, fund disclosures, SEC filings, governance, and strategic regulatory initiatives with an accent on mutual funds, closed-end funds, ETFs, and securities law. Focus on reviewing registration statements and public disclosures, supporting fund launches and reorganizations, and translating complex legal issues into practical guidance.
Location: Houston, Texas, with a hybrid workplace model requiring at least four full days per week in an office. The compensation information references Downers Grove.
Salary: $160,000–$175,000 base per year, plus incentive pay.
Company
is a global investment management firm providing investment strategies and vehicles to clients worldwide.
What you will do
- Provide practical legal advice on mutual funds, closed-end funds, ETFs, and related regulatory matters.
- Oversee the preparation and review of registration statements, prospectuses, shareholder reports, proxy materials, fund board materials, and other public disclosures.
- Support SEC filings under Forms N-1A, N-2, N-14, N-CSR, N-CEN, N-PORT, N-PX, and Schedule 14A.
- Advise on fund launches, product line changes, mergers, reorganizations, shelf offerings, and regulatory implementation.
- Collaborate with Product, Investments, Compliance, Finance, Distribution, auditors, fund counsel, and trustee counsel.
- Engage with senior legal and business leaders on securities law, corporate projects, and strategic initiatives.
Requirements
- Juris Doctor degree and active bar membership.
- 4–6 years of relevant legal experience involving registered or unregistered investment companies and securities laws, particularly the Investment Company Act of 1940 and Securities Act of 1933.
- Strong experience with regulatory disclosure and SEC disclosure forms, including direct engagement with SEC staff.
- Strong analytical, writing, communication, project management, interpersonal, and commercial judgment skills.
- Ability to work independently and collaboratively while translating complex legal issues into practical guidance.
Nice to have
- Experience at a major law firm, the SEC, another regulatory agency, an asset management firm, an investment adviser, or a relevant financial services organization.
Culture & Benefits
- Hybrid workplace model centered on regular in-office collaboration.
- Flexible paid time off.
- 401(k) matching of 100% up to the first 6%, with a discretionary supplemental contribution.
- Health and wellbeing benefits, parental leave, and an employee stock purchase plan.
- Collaborative legal environment with exposure to senior leaders and broad investment management initiatives.
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