Legal Counsel - 1940 Act

New York Permanent $22,000 - $260,000 per year
  • Newly created role with top financial institution
  • Hybrid role 3 days in office with exceptional benefits

About Our Client

Financial services client.

Job Description

The Senior Legal Counsel will work closely with other members of the legal team, advising the business on the following legal matters:

  • Provide clear and concise legal advice to business units on mutual funds, particularly focusing on 1940 Act support
  • Review regulatory filings, '40 Act fund registration statements, proxy statements and prospectuses
  • Ensure all marketing, operational and investment matters are in compliance with various regulations pertaining to an RIA
  • Assist with fund creation, mergers and new product offerings/changes to existing products
  • Prepare materials for board meetings and attend board meetings
  • Work closely with the Managing Counsel on a wide range of special projects
  • Work directly with internal business partners

Please apply today to have your resume considered within 24 hours.

The Successful Applicant

  • JD from a top US law school
  • NY State Bar
  • 4-8 years of experience gained at a top law firm and/or in-house with a financial services company
  • Must have experience providing advice on the Investment Company Act of 1940, Investment Advisers Act and other regulatory matters pertaining to a registered investment adviser/registered funds
  • Experience advising clients on investment company disclosure matters, corporate governance and securities law
  • Experience reviewing board materials, '40 act fund registration statements, proxy statements, regulatory filings and prospectuses
  • Additional experience working with life insurance, mutual funds, and insurance products is preferred
  • Excellent communication skills
  • Willing to work in-office 3x per week in NYC

What's on Offer

  • Base salary from $220,000-$265,000 per year
  • Highly competitive bonus structure
  • Industry leading 401(k) match
  • Benefits package beginning on day one of employment
  • 4 weeks PTO
  • Fully paid parental leave
  • Additional benefits and perks
  • Hybrid working environment with 3x in-office, 2x WFH
  • Excellent company culture
Jennifer Pettigrew
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Job summary

Legal Subsector
Financial Services
New York
Contract type
Consultant name
Jennifer Pettigrew
Job reference

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