Job Description
Assistant General Counsel – Mutual Funds
Location: NYC (3 days in office)
About the Role:
A leading investment management firm is seeking an Assistant General Counsel to support its U.S. registered funds business. This role offers broad exposure to legal and regulatory matters, direct interaction with business teams, and the opportunity to work closely with senior leadership. The legal team is small and highly collaborative, providing a chance for meaningful impact.
Key Responsibilities:
- Advise on Investment Company Act of 1940 matters and oversee fund registration statements
- Provide legal guidance to portfolio managers, sales, and marketing teams
- Draft and negotiate investment management, distribution, and service provider agreements
- Support board meetings and regulatory interactions
- Stay current on SEC regulations and oversee compliance implementation
- Review marketing materials, client communications, and RFPs
What They're Looking For:
- JD and New York Bar admission
- 4+ years of experience with U.S. registered funds and the Investment Company Act of 1940
- Background in a major law firm or in-house legal department
- Experience working with fund boards and intermediary relationships preferred
- Ability to work independently while knowing when to escalate complex matters
- Strong communication skills and a proactive, business-oriented approach
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