Assistant General Counsel

Skills: Corporate Experience related to either Securities (33 Act, public offerings), or M&As, Private Equity, Private Fund Offerings, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance, Alternative Investments.

We are a trusted Financial Services company that needs an exceptional Assistant General Counsel to join our elite legal team. If you have 5+ years of corporate experience and a passion for Securities Law, then this may be a perfect fit for you!

In this role, you will:

• Ensure compliance with applicable securities laws and regulations governing funds, such as the Investment Company Act of 1940.
• Help manage a core group of funds and assist in the creation and registration of funds.
• Review registration statements and annual shareholder reports.
• Attend board meetings and review board materials, and ensure adherence to internal policies and regulatory requirements.
• Identify and manage risks associated with fund operations and conduct due diligence for potential investments, ensuring that funds are in compliance with legal and regulatory requirements.
• Conduct legal due diligence for corporate transactions, mergers, acquisitions, and other strategic initiatives.
• Perform tasks assigned by Senior Corporate Counsel.
• Oversee alternative investment private offering platform processes for offering private funds (Reg D, 506(c)).
• Ensure suitability analysis and Reg BI compliance for investors.
• Provide compliance oversight for non-traded REITs, DSTs, tender/interval funds and co-investment vehicles.
• Review PPMs, fund offering documents, and marketing materials for compliance with SEC/FINRA rules.

Must Have Skills:

• 5+ years of Corporate Experience in either Securities, Financial Services, or broker-dealer or securities compliance with emphasis on private funds.

Nice to Have Skills:

• Compliance Experience is a major plus!
• FINRA licenses:
  Series 24 (Series 7/63/66 strongly preferred).
• Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority)
• Private Equity Experience is a plus!
• Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds.
• Strong knowledge of Reg D, FINRA Rules 2111/2210/, and Reg BI.