Registered Funds In-House Counsel | NYC

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.