Assistant General Counsel

Overview

This role is for an Assistant General Counsel supporting a trusted Mutual Fund and Financial Services company.

Location:

Wheaton, IL (Onsite).

Base pay range
: $/yr - $/yr

Compensation
: $150K-240K+Bonus DOE

Job Title
:
Assistant General Counsel

• $150K-240K+ Bonus
• 401K

• Ensure compliance with applicable securities laws and regulations governing mutual funds, such as the Investment Company Act of 1940.
• Help manage a core group of mutual funds and assist in the creation and registration of mutual funds.
• Review registration statements and annual shareholder reports.
• Attend board meetings and review board materials, and ensure adherence to internal policies and regulatory requirements.
• Identify and manage risks associated with mutual fund operations and conduct due diligence for potential investments, ensuring that funds are in compliance with legal and regulatory requirements.
• Conduct legal due diligence for corporate transactions, mergers, acquisitions, and other strategic initiatives.
• Perform tasks assigned by Senior Corporate Counsel.

• 5+ years of Corporate Experience in either Securities or Financial Services

• Compliance Experience is a major plus
• Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA
• Private Equity Experience is a plus

• Location:
  
  Wheaton, IL (Onsite)
• Qualifications:
  
  5+ years corporate experience in securities or financial services
• Industries:
  Financial Services, Investment Management, Legal Services

We are a trusted Mutual Fund and Financial Services company seeking an exceptional Assistant General Counsel to join our elite legal team. If you have 5+ years of corporate experience and a passion for Securities Law, this may be a perfect fit for you.