Assistant General Counsel
3 hours ago
We are seeking an exceptional Assistant General Counsel to join our elite legal team at Talently Recruiting. As a trusted Mutual Fund and Financial Services company, we need a skilled professional with 5+ years of corporate experience and a passion for Securities Law.
Key Responsibilities:
- Ensure compliance with applicable securities laws and regulations governing mutual funds, such as the Investment Company Act of 1940.
- Help manage a core group of mutual funds and assist in the creation and registration of mutual funds.
- Review registration statements and annual shareholder reports.
- Attend board meetings and review board materials, and ensure adherence to internal policies and regulatory requirements.
- Identify and manage risks associated with mutual fund operations and conduct due diligence for potential investments, ensuring that funds are in compliance with legal and regulatory requirements.
- Conduct legal due diligence for corporate transactions, mergers, acquisitions, and other strategic initiatives.
- Perform tasks assigned by Senior Corporate Counsel.
Requirements:
- 5+ years of Corporate Experience in either Securities, Financial Services or M&As.
Preferred Skills:
- Compliance Experience is a major plus.
- M&A Experience is a major plus.
- Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority).
- Private Equity Experience is a plus.
What We Offer:
- $150K-240K+ Bonus.
- Health Benefits.
- 401K.
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