Senior Legal Counsel - Established Investment Manager
Senior Legal Counsel
Location: San Francisco, CA (Hybrid)
Company: Established Investment Manager (Confidential)
Overview
A well-established investment management firm is seeking a Senior Legal Counsel to support its growing advisory platform. This role will provide day-to-day legal guidance across investment advisory matters, regulatory compliance, and securities law issues, with a strong emphasis on the Investment Advisers Act of 1940 and related rules, as well as applicable requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. The Senior Legal Counsel will work closely with Compliance, Investments, Operations, and senior leadership.
Key Responsibilities
- Provide legal advice on matters under the Investment Advisers Act of 1940, including advertising/marketing rules, fiduciary duty considerations, disclosures, and conflicts of interest.
- Support the firm's securities law needs under the '33 Act and '34 Act, including offering and disclosure considerations, reporting obligations, and investor communications.
- Review, draft, and negotiate a range of agreements and legal documentation, which may include:
- Advisory agreements, client onboarding materials, side letters, NDAs, and vendor contracts
- Policies, procedures, and disclosures related to advisory operations and regulatory requirements
- Partner with the Compliance function on regulatory initiatives, examinations, and responses to regulatory inquiries (e.g., drafting narratives, coordinating document production, and remediation planning).
- Advise on marketing and communications review (e.g., pitch decks, website content, factsheets) to ensure consistency with applicable securities and investment advisory regulations.
- Help develop and enhance internal governance, training, and legal/compliance controls across the advisory business.
- Monitor regulatory developments and provide practical guidance to internal stakeholders.
Qualifications
- J.D. from an accredited law school; active bar membership in at least one U.S. jurisdiction (CA preferred, not required).
- Minimum 4+ years of legal experience with a strong focus on:
- Investment Advisers Act / Advisers Act of 1940 and related SEC rules
- Securities Act of 1933 and Securities Exchange Act of 1934
- Experience gained at a law firm and/or in-house at an investment manager, adviser, broker-dealer, or financial services firm.
- Strong drafting and issue-spotting skills; ability to translate complex regulatory concepts into clear, actionable guidance.
- Comfort working cross-functionally in a fast-paced environment with multiple stakeholders.
- High integrity, sound judgment, and a collaborative, solutions-oriented approach.
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