Major, Lindsey & Africa’s Interim Legal Talent group has an immediate need for an interim Investment Management/ Private Funds Attorney.
Overview: Our client has a need for an Attorney in the Investment Management group of their in-house legal department.
Company: Our client is a global Investment Bank and Wealth Management Firm.
Experience: 4+ years of experience
Location: This role is hybrid (mid-town Manhattan, NYC) three days per week in office.
Responsibilities Include (Investment Management Attorney experience):
- Providing primary legal support for 1940 Act registered equity, fixed income and liquidity funds, ETFs, private funds, and institutional business including:
- Providing day-to-day advice and counsel to portfolio management, product development/management and sales teams
- Reviewing and preparing registration statements/offering documents, proxy materials, documentation in connection with fund reorganizations and other business transactions for proprietary funds
- Supporting sales teams in connection with third-party distribution of proprietary funds
- Assisting business units in development of new products
- Reviewing proprietary fund marketing materials
- Reviewing registration statements and 15(c) information requests for third party sub-advised mutual funds
- Reviewing and negotiating investment advisory and other service agreements
- Advising the business on regulatory developments and changes in legal requirements; assisting with responses to regulatory inquiries
- Providing general legal advice to a global asset manager, including coordinating with Legal colleagues in non-US offices in London, Hong Kong, and Japan as well as with colleagues in other groups such as Compliance, Litigation, and Global Financial Crimes/AML
Responsibilities Include (Private Funds Attorney experience):
- Advising investment professionals and directing outside counsel in connection with fundraising and marketing activities, as well as compliance requirements arising from various statutory, regulatory and internal policy obligations.
- Legal coverage within the Company’s Private Funds business including:
- Marketing, formation and management of complex fund structures
- Advising on legal obligations arising in connection with corporate governance, investor relations, fund raising and investing activities
- Advising on marketing materials, investor presentations and RFPs/DDQs in connection with fund raising
- Formation and management of carry plan documentation
- Advising on the development and execution of internal policies and procedures
Qualifications Include:
- At least 4 years of experience at major US law firm or in-house investment bank or asset manager
- Deep understanding of the external regulatory environments and trends relevant to asset management, including matters arising under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Bank Holding Company Act of 1956, the Securities Act of 1933, Regulation D, ERISA, AIFMD, and FINRA Rules
- Excellent analytical, oral and written communication skills, attention to detail, maturity and judgement
- Excellent interpersonal skills necessary to forge strong and effective working relationships with key stakeholders across the business and across various regions
- Demonstrated ability to be creative in developing alternative solutions in a dynamic, fast-paced and challenging environment
- Demonstrated ability to take on and effectively prioritize multiple projects
- Capacity to work and make informed decisions independently as well as partner with legal and compliance colleagues and clients
- Experience engaging and overseeing external counsel as necessary
All interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration.
Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws.
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