40 Act Attorney
About the Opportunity
A well-established investment management organization is seeking an attorney to support a broad range of registered and private investment products. This role will work closely with legal, compliance, investment, product, and business teams on fund formation, regulatory matters, governance initiatives, and ongoing product support. The position offers exposure to sophisticated investment vehicles, strategic business initiatives, and direct interaction with senior stakeholders across the organization.
Key Responsibilities
- Provide legal support for the formation, operation, and maintenance of registered and private investment vehicles.
- Draft, review, and negotiate fund documents, investor agreements, subscription materials, service provider agreements, confidentiality agreements, and other commercial contracts.
- Advise on matters arising under the Investment Company Act of 1940, Investment Advisers Act of 1940, and related securities regulations.
- Assist with regulatory filings, disclosures, and ongoing compliance obligations.
- Support board and governance matters, including the preparation and review of meeting materials and presentations.
- Partner with investment, operations, product, compliance, and distribution teams on new business initiatives and product launches.
- Coordinate with outside counsel on a variety of legal, transactional, and regulatory projects.
- Review marketing materials and investor communications for legal and regulatory considerations.
- Provide practical legal guidance regarding business, regulatory, and operational risks.
- Monitor regulatory developments and assist with the implementation of new legal requirements.
Requirements
- Juris Doctor (J.D.) from an accredited law school and active U.S. bar admission.
- 3-9 years of experience within investment funds, asset management, investment advisory, or financial services legal practices.
- Strong knowledge of the Investment Company Act of 1940 and registered investment products.
- Experience supporting fund formation, fund governance, regulatory filings, and ongoing fund maintenance.
- Prior exposure to mutual funds, closed-end funds, ETFs, private funds, or separately managed accounts is preferred.
- Strong drafting, negotiation, and organizational skills.
- Ability to communicate effectively with internal stakeholders and external parties.
- Proven ability to manage multiple priorities in a fast-paced environment.
- Collaborative, detail-oriented, and business-minded approach to legal problem solving.
Preferred Background
- Experience advising investment advisers, asset managers, fund sponsors, or financial institutions.
- Familiarity with board governance matters and interactions with regulators.
- Experience reviewing investment product documentation and supporting product development initiatives.
- Ability to balance legal risk management with practical business objectives.
FAQs
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