SVP, Registered Funds Counsel

New York, Lincolnshire
Page Executive

• Exciting opportunity to join Legal Team of rapidly growing FinTech firm
• Hybrid working environment with 4 days in NYC office

About Our Client

FinTech client operating within the alternative investment space.

Job Description

• Negotiate various agreements with counterparties including distributors, service providers, fund managers and BDCs, non-traded REITs, private REITs, and other closed end funds registered under the 1940 Act.
• Draft and review of registered fund offering materials, and private fund legal documentation.
• Assist regulatory and compliance with the substantive provisions of the 1933 and 1940 Act, including those governing affiliated transactions, fund of fund arrangements, and advisory and distribution contracts.
• Advise on the legal implications of offering new and existing products and services.
• Coordinate use of outside legal counsel with respect to a variety of issues including regulatory, corporate and fund investment work.
• Review materials for SEC and FINRA compliance.
• Draft and review various contracts, non disclosure agreements and other legal documentation.
• Perform ad hoc research projects.

The Successful Applicant

• 7+ years of fund formation experience within the registered fund or mutual fund space
• Strong knowledge of the 1933 and 1940 Act
• Member in good standing of New York Bar or another state or jurisdiction
• Law firm or in house experience at an asset management firm is a plus
• 1934 act experience a plus
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• Organized and detail oriented with big picture capabilities

What’s on Offer

• Hybrid working environment
• Competitive base salary
• Bonus
• Equity
• Unlimited PTO and parental leave
• 100% employer paid dental, vision, telemedicine
• 401K match