Senior Legal Counsel - Established Investment Management Firm
Senior Legal Counsel - Established Investment Management Firm
Denver, CO (Hybrid)
About the Opportunity
An established investment management firm is seeking a Senior Legal Counsel to join its legal team in Denver. This attorney will provide legal and regulatory support to the firm's registered investment products, including mutual funds, ETFs, and other products governed under the Investment Company Act of 1940.
The role offers significant exposure to business stakeholders, fund operations, product development, compliance, and fund governance matters within a collaborative and growing organization.
Key Responsibilities
- Advise on legal and regulatory matters related to registered investment companies, including mutual funds, ETFs, and other '40 Act products.
- Support the launch, operation, and ongoing maintenance of registered funds, including fund restructurings, new product initiatives, and regulatory filings.
- Provide guidance regarding Investment Company Act, Investment Advisers Act, SEC rules, and other applicable regulatory requirements.
- Draft, review, and negotiate fund-related documentation, including registration statements, shareholder communications, board materials, and service provider agreements.
- Partner closely with compliance, product, operations, and business teams to address legal and regulatory considerations impacting registered products.
- Assist with board governance matters and interactions with fund trustees and external counsel.
Qualifications
- J.D. from an accredited law school and admission to practice law in at least one U.S. jurisdiction.
- Minimum 3 years of experience advising on registered funds, mutual funds, ETFs, or other Investment Company Act of 1940 matters.
- Experience gained at a law firm, asset manager, investment adviser, or financial services organization.
- Strong knowledge of federal securities laws, including the Investment Company Act of 1940 and Investment Advisers Act of 1940.
- Ability to work independently while partnering effectively with business and legal stakeholders.
Preferred Experience
- Experience supporting ETF products and related regulatory requirements.
- Familiarity with SEC filings and fund disclosure documents.
- Background advising asset managers, investment advisers, or fund complexes.
Compensation
Competitive compensation package, annual bonus opportunity, and comprehensive benefits offered.
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