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Senior Counsel

3 months ago

Greenwich, United States Cardea Group Full time

Senior Counsel (Greenwich, CT): Our client, an asset manager with over $8B in assets and a strong track record of internal promotions, is seeking an outstanding legal professional to step into the role of Senior Counsel. This role involves ensuring the continuous adoption, implementation, and management of policies, procedures, and controls to comply with regulatory requirements.


Key Points:

  • The firm fosters a culture that embodies integrity, inclusivity, collaboration, and respect for all individuals.
  • Opportunity to work alongside a talented team overseeing the company's registered and regulated investments.
  • The firm possesses secure assets and boasts a solid and well-established reputation in the industry.

Responsibilities:

  • Ensure continuous adoption, implementation, and management of policies and controls to comply with the 1940 Act, Securities Exchange Act of 1934, Securities Act of 1933, Investment Advisers Act of 1940, and other relevant federal securities laws.
  • Oversee regulatory filings, including ad hoc and regular periodic SEC filings.
  • Coordinate corporate governance matters for the 40 Act Funds, including preparing and reviewing materials for board of directors meetings.
  • Review disclosures of new products, instruments, financing arrangements, and marketing materials.
  • Collaborate with external legal advisors and service providers, such as transfer agents, fund accountants, and auditors, as well as internal stakeholders, including in-house legal counsel.
  • Support the investment adviser compliance team with any necessary assistance regarding matters concerning both the Regulated Funds and the firm overall.

Qualifications:

  • 4-6+ years of legal experience out of big law or another asset manager specializing in BDCs and/or registered investment companies
  • Extensive understanding of the 1940 Act and other Federal Securities Laws.
  • Ability to identify issues and independently devise solutions, demonstrating strong organizational skills and keen attention to detail.
  • Entrepreneurial, collaborative, capable of independent work on daily tasks, and proficient in executing long-term projects, subject to the general oversight of the firm’s Legal team.
  • Proficiency in comprehending intricate matters and delivering clear and succinct explanations through both written and verbal communication.

Compensation: $225-250K base; $400-435K all-in

Job Reference #1947