Registered Funds Associate AttorneyDirect Counsel is seeking a Registered Funds Associate Attorney with 3–6 years of experience to join a leading global law firm and its highly regarded Asset Management practice.
Locations
Washington, D.C.; San Francisco, CA; New York, NY; Chicago, IL; or Boston, MA
Position Overview
The ideal candidate will have substantial experience advising registered investment companies and registered investment advisers on a broad range of regulatory, transactional, and compliance matters. This role offers the opportunity to advise sophisticated asset management clients across the full lifecycle of registered funds, including fund formation, product development, ongoing compliance, governance, and regulatory matters.
Responsibilities
- Advise registered investment companies, investment advisers, and fund boards on legal and regulatory matters.
- Counsel clients regarding mutual funds, ETFs, listed closed-end funds, interval funds, tender offer funds, and business development companies.
- Assist with fund formation, registration, product development, and ongoing regulatory compliance.
- Advise on novel and innovative fund structures and product designs.
- Draft and review prospectuses, statements of additional information, shareholder reports, and other fund-related documents.
- Conduct legal research and analyze developments affecting registered funds and investment advisers.
- Advise clients regarding compliance with the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934.
- Represent clients in interactions with the SEC and state securities regulators.
- Work directly with portfolio managers, product development teams, compliance officers, and other client stakeholders.
- Provide subject-matter support on related financial services matters, including M&A transactions.
- Provide training and guidance to junior attorneys and legal staff.
- Utilize AI technologies responsibly and ethically to enhance legal research, analysis, and workflow efficiency.
Qualifications
- 3–6 years of registered funds experience at a law firm.
- Substantial knowledge of securities laws and regulations applicable to registered investment companies and registered investment advisers.
- Experience advising funds and/or advisers on formation, registration, governance, compliance, and ongoing operations.
- J.D. from an accredited law school.
- Admission to the bar in the relevant jurisdiction required.
- Strong legal research, writing, analytical, and problem-solving skills.
- Excellent communication and client relationship skills.
- Ability to explain complex legal and regulatory concepts clearly to clients and internal stakeholders.
- Ability to work independently while collaborating effectively within a global team.
- Proficiency using AI technologies responsibly and ethically, including protecting confidentiality, verifying outputs, and exercising independent legal judgment.
Compensation
The anticipated salary range is $260,000–$390,000 annually, depending on qualifications, experience, and other relevant factors.
Application Requirements
Candidates should be prepared to submit a resume, cover letter, and law school transcript.