The client is seeking an experienced legal professional to join its legal team within a growing FinTech business focused on alternative investments. The role will support legal work across registered funds and related offerings, partnering with internal stakeholders and counterparties to help advance business initiatives.
Responsibilities include negotiating agreements with counterparties such as distributors, service providers, fund managers, and other closed-end fund entities; drafting and reviewing registered fund offering materials and private fund legal documentation; and assisting regulatory and compliance efforts related to the substantive provisions of the 1933 and 1940 Acts, including areas such as affiliated transactions, fund-of-fund arrangements, and advisory and distribution contracts. The role will also advise on the legal implications of launching or modifying products and services, coordinate outside legal counsel across regulatory and corporate/fund investment matters, review materials for SEC and FINRA compliance, draft and review contracts and non-disclosure agreements, and perform ad hoc legal research.
The successful applicant will have 7+ years of fund formation experience in the registered fund or mutual fund space and strong working knowledge of the 1933 and 1940 Acts. Membership in good standing of a relevant U.S. bar (e.g., the New York Bar or another state or jurisdiction) is required, and law firm or in-house experience at an asset management firm is a plus, as is 1934 Act experience. The role also calls for strong interpersonal and leadership skills, organization and attention to detail with the ability to balance big-picture perspective, and a willingness to learn and adapt in an evolving environment.