Associate General Counsel - Mutual Funds
Overview
A leading global investment management firm is seeking an experienced attorney to join its legal team as an Associate General Counsel focused on registered investment products. This role will serve as a key legal advisor to the firm's mutual fund and closed-end fund business, partnering closely with senior leadership, compliance, product development, operations, and investment teams.
The position offers significant exposure to fund governance, regulatory developments, product launches, and strategic initiatives across a sophisticated asset management platform.
Key Responsibilities
- Provide legal counsel on matters involving U.S. registered investment companies, including mutual funds, closed-end funds, and related investment products.
- Advise fund boards and assist with board meeting preparation, materials, governance matters, and ongoing director engagement.
- Interpret and provide guidance regarding the Investment Company Act of 1940 and other applicable federal securities laws.
- Support the development, launch, restructuring, and ongoing management of investment products.
- Review and negotiate agreements involving service providers, distribution arrangements, fund operations, and other business activities.
- Partner with compliance and business stakeholders to assess regulatory developments and implement necessary changes.
- Assist with regulatory filings, disclosures, shareholder communications, and fund documentation.
- Support strategic initiatives and provide practical legal solutions to business and operational challenges.
- Coordinate with outside counsel and regulatory agencies as needed.
Qualifications
- Juris Doctor (J.D.) from an accredited law school.
- Active membership in good standing with at least one U.S. state bar.
- Approximately 6+ years of legal experience gained within a leading law firm, asset manager, investment adviser, or financial institution.
- Strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and related securities regulations.
- Prior experience advising registered investment funds and fund boards is highly preferred.
- Ability to balance legal risk with commercial objectives in a fast-paced environment.
- Excellent drafting, negotiation, communication, and stakeholder management skills.
- Demonstrated ability to independently manage complex legal matters while collaborating across multiple business functions.
Preferred Experience
- Experience supporting mutual funds, interval funds, closed-end funds, ETFs, or other registered investment products.
- Familiarity with SEC examinations, regulatory inquiries, and fund disclosure requirements.
- Knowledge of distribution, intermediary, transfer agency, and fund servicing arrangements.
- Exposure to asset management product development and fund governance matters.
Why Consider This Opportunity?
- Join a highly regarded asset management organization with a long-term investment focus.
- Work directly with senior business leaders and fund boards.
- Broad exposure to sophisticated registered fund products and strategic initiatives.
- Collegial environment with strong internal mobility and career growth opportunities.
- Competitive compensation and benefits package.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.Â
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.Â
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.