Head of Legal - Notable Investment Manager
Location: Denver, CO (Hybrid)
Company: Notable investment manager
Overview
A leading investment manager is seeking a Head of Legal to lead legal support for its registered funds platform, including mutual funds and ETFs. This role will serve as the senior legal leader for the funds business and will be the primary legal partner to the funds Board, working closely with Independent Trustees and Trustee Counsel. The position will advise senior business stakeholders and provide strategic guidance across product, distribution, governance, regulatory, and board matters.
Key Responsibilities
- Serve as the head legal advisor to the firm's registered funds business (mutual funds and ETFs), providing strategic and practical guidance aligned with business objectives.
- Act as the primary point of contact for the Funds Board, including:
- Preparing for and supporting Board and committee meetings
- Managing Board materials and legal review of meeting content
- Advising on governance best practices and independent trustee engagement
- Partnering directly with trustee counsel and coordinating across stakeholders
- Advise on core Investment Company Act of 1940 ("'40 Act") and related regulatory matters impacting registered funds.
- Provide legal counsel on fund operations and lifecycle matters, including:
- Fund launches, changes in strategy/structure, reorganizations, liquidations
- Disclosure and shareholder reporting considerations
- Service provider relationships and oversight (e.g., administrator, custodian, transfer agent, distributor)
- Support ongoing compliance and regulatory initiatives impacting registered funds, including coordination with compliance, risk, operations, and senior leadership.
- Review and advise on fund-related agreements, policies, and regulatory filings, partnering with internal teams and external counsel as needed.
- Help drive process improvements and consistent governance frameworks for board support and registered funds legal coverage.
Qualifications
- Minimum 8+ years of legal experience with substantial focus on mutual funds/registered investment companies, including '40 Act matters and ETFs.
- Demonstrated experience advising on and supporting fund boards, including direct interaction with independent trustees and trustee counsel.
- Strong understanding of the legal/regulatory framework applicable to registered funds and related governance expectations.
- Ability to operate as a senior advisor-confident, responsive, and solutions-oriented-with excellent judgment.
- Strong communication skills and comfort partnering with senior business stakeholders.
- JD required; active bar membership in good standing.
Preferred Experience
- Experience in an investment manager legal team and/or a law firm practice focused on mutual funds, registered funds, or '40 Act products
- Familiarity with board governance cadence, materials review, annual approvals, and ongoing trustee engagement.
- Experience guiding cross-functional stakeholders through regulatory or governance changes.
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