Director, Legal Counsel - Established Investment Manager
Director, Legal Counsel
Location: Hybrid | Denver, CO
Overview
Key Responsibilities
- Provide legal counsel to the boards and committees overseeing U.S. registered investment products, including mutual funds and ETFs.
- Advise on governance matters, fiduciary obligations, regulatory developments, and board oversight responsibilities under the Investment Company Act of 1940.
- Coordinate and review board meeting materials, ensuring information is accurate, complete, and presented in a clear, decision-ready format.
- Support planning and execution of board and committee meetings, including agendas, presentations, governance documentation, meeting minutes, and follow-up actions.
- Partner with internal stakeholders and external advisors on annual investment advisory agreement reviews and related governance processes.
- Provide legal support for fund launches, mergers, reorganizations, liquidations, and other strategic product initiatives requiring board consideration or approval.
- Assist in assessing regulatory developments and translating complex legal requirements into practical business guidance.
- Review and enhance governance policies, committee charters, trustee education programs, and board operating procedures.
- Collaborate with colleagues across legal, compliance, product, operations, risk, finance, and distribution functions on strategic and regulatory matters.
- Contribute to process improvements and governance best practices that enhance board effectiveness and operational efficiency.
Required Qualifications
- Juris Doctor (J.D.) from an accredited law school.
- Active membership in good standing with at least one U.S. state bar.
- Significant experience advising registered investment companies, including mutual funds and/or ETFs.
- Strong understanding of the Investment Company Act of 1940, SEC regulations, and fund governance requirements.
- Experience supporting boards of trustees, board committees, and related governance processes.
- Familiarity with annual advisory contract review processes and fund board oversight responsibilities.
- Excellent legal drafting, analytical, and communication skills.
- Ability to exercise sound judgment, manage competing priorities, and provide practical, business-oriented legal advice.
- Proven ability to build relationships with senior executives, independent directors, outside counsel, and cross-functional stakeholders.
Preferred Qualifications
- Experience supporting both mutual fund and ETF product structures.
- Background within a leading asset manager, investment adviser, or investment management law practice.
- Experience mentoring junior legal professionals or governance support staff.
- Exposure to legal operations, workflow optimization, or governance process improvements.
FAQs
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