Senior Legal Counsel

5 days ago


Atlanta, Georgia, United States Gridline Full time
Job Summary

Gridline is seeking a highly experienced and skilled Vice President of Legal to join our team. As a key member of our leadership, you will play a pivotal role in supporting our firm's investment activities by managing fund formation and regulatory compliance.

Key Responsibilities
  • Fund Formation and Compliance: Oversee all legal aspects of fund formation, structuring, and compliance, ensuring adherence to relevant regulations and laws.
  • Document Drafting and Negotiation: Draft and negotiate fund documents, including offering memorandums, subscription agreements, and management agreements.
  • Investment Product Structuring: Advise on and structure different investment products to be launched (fund of funds, feeder funds, direct investment SPVs).
  • Regulatory Compliance: Work with underlying managers to ensure that their investment strategies are aligned with the investment platform's objectives and that they are in compliance with all applicable laws and regulations.
  • Compliance Training and Development: Develop and implement internal compliance policies and procedures, specifically the Gridline Compliance Manual and Code of Ethics.
  • Regulatory Oversight: Provide primary oversight and supervision of the Investment Advisers Act of 1940 and any rules adopted by the SEC under the Act, to prevent violations by the firm.
  • SEC Filings: Annually file and amend the firm's ADV to ensure compliance with SEC filing requirements.
  • Regulatory Exams and Investigations: Assist with managing regulatory exams, investigations, and inquiries conducted by FINRA, SEC, and state regulators.
Requirements
  • Education: Juris Doctor (JD) from a top-tier law school and active membership in good standing with the state bar.
  • Experience: 8+ years of experience practicing law with a focus on fund formation and regulatory compliance, preferably in a major law firm or large asset management institution.
  • Skills: Extensive knowledge of investment fund structures, including private equity, venture capital, private credit, and real estate funds. Strong understanding of regulatory frameworks governing investment funds, including SEC regulations (e.g., Investment Advisers Act of 1940, Securities Act of 1933).
  • Personal Qualities: Excellent drafting and negotiation skills, with the ability to review and draft complex legal documents with precision. Exceptional analytical and problem-solving abilities, with keen attention to detail. Effective communicator with the ability to convey complex legal concepts clearly and concisely.


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