Senior Counsel for Registered Investment Funds

2 weeks ago


Greenwich, Connecticut, United States Larson Maddox Full time

A prominent Credit Investment Fund is seeking a Senior Registered Funds Counsel to join their legal team. This role will report directly to the General Counsel and will be integral to a cohesive legal department that plays a vital role in the organization. The position encompasses a range of regulatory responsibilities, including compliance with the 1940 Act, transactional assistance, regulatory submissions, and more.

Key Responsibilities:

  • Revise and enforce policies and procedures in alignment with securities regulations, specifically the Investment Company Act of 1940.
  • Oversee regulatory assessments and provide support for transactional and disclosure issues related to both new and existing products, marketing materials, and distribution strategies.
  • Handle Corporate Governance issues for Registered funds.
  • Collaborate with external legal counsel and service providers as necessary.
  • Assist the legal team with special projects on an as-needed basis.

Required Qualifications:

  • Juris Doctorate and active Bar Admission.
  • 4-6 years of experience with Registered Investment Companies and Business Development Companies (BDCs).
  • In-depth understanding and familiarity with the Investment Company Act of 1940 and other federal securities laws and regulations.
  • Exceptional organizational skills, meticulous attention to detail, strong communication abilities, and capacity to meet stringent deadlines.


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