Head of Legal, Registered Funds
Job Description:
A NYC based private markets investment firm is seeking a Head of Legal (40act/Private Wealth) to join their growing team.
• Work closely with transactional attorneys across various asset classes to execute investments (including joint transactions) on behalf of the Private Wealth funds
• Prepare materials for the funds’ Board of Trustees and committee meetings, including agenda, exhibits, minutes, reports and resolutions and act as Secretary for such meetings.
• Work with external counsel to prepare 1940 Act fund registration statements, prospectuses, shareholder reports, tender offers and other regulatory filings.
• Oversee the drafting and review of contracts, including service provider agreements, advisory/sub-advisory agreements, distribution agreements, transfer agency agreements, custodian agreements and related agreements.
• Support the funds’ CCO in conducting risk assessment analyses and performing compliance testing.
Required Knowledge, Skills, and Abilities:
• Strong knowledge of registered investment company disclosure and regulatory requirements, including fund structuring.
• Ideal candidates will have experience with private markets investment management firms, whether in-house or at a law firm.
• Prior experience managing teams of lawyers on specific transactions.
• 10-15+ years of experience as an attorney with experience at a law firm and/or financial services firm, with a focus on matters relating to the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
