Senior Counsel - Global Registered Investment Advisor
Position Summary
The firm is seeking an Associate General Counsel to serve as a key legal advisor to its advisory, intermediary, and distribution activities. This role sits within the Legal team and reports to the head of Legal. The successful candidate will partner closely with investment, client-facing, product, operations, and business development teams to provide strategic, commercially grounded legal guidance.
The position focuses on complex client mandates, intermediary and platform relationships, and regulatory considerations across both U.S. and non‑U.S. markets. The role is well suited for a senior attorney who combines strong technical expertise with sound judgment, business acumen, and the ability to influence across functions.
Key responsibilities include:
- Acting as the lead legal advisor on sophisticated institutional client relationships, including the drafting and negotiation of investment management agreements, investment guidelines, fee provisions, and customized side letters for domestic and international clients
- Leading legal support for intermediary, model‑delivery, and distribution arrangements, including agreements with registered investment advisers, platforms, private banks, and other distribution partners
- Collaborating with investment, client relationship management, business development, operations, and product teams to deliver practical, risk‑aware legal advice that supports business objectives while maintaining regulatory compliance
- Overseeing the legal review and governance of fee structures, "most favored nation" analyses, and affiliation considerations to mitigate regulatory and commercial risk
- Reviewing and approving legal content in RFP responses, due diligence questionnaires, and other client‑facing disclosures
Qualifications and Experience
- Juris Doctor (JD) with approximately 5-10+ years of relevant legal experience
- Background advising asset managers, investment advisers, or other financial services firms on client, fund, and distribution matters; prior in‑house experience is strongly preferred
- Demonstrated strength in negotiating complex investment agreements, bespoke side letters, and intermediary arrangements, with the ability to balance commercial goals and regulatory requirements
- Solid working knowledge of the U.S. Investment Advisers Act and familiarity with other applicable U.S. and international regulatory regimes
- Ability to operate independently while serving as a trusted senior advisor to cross‑functional stakeholders
- Excellent written and verbal communication skills, with strong listening and judgment
- High degree of analytical rigor combined with creativity and practical problem‑solving
- Strong organizational skills and the ability to manage multiple priorities simultaneously
- Consistent demonstration of sound ethics, integrity, and professional judgment
- Experience mentoring or developing more junior colleagues
- Familiarity with financial products and product development concepts; tax knowledge is helpful but not required
- Intellectual curiosity, enthusiasm for the practice of law, and a strong work ethic
- Ability to move decisively, follow through on commitments, and uphold high standards for oneself and others
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