Chief Legal Counsel
June 3
Description
• Directly establish and manage all aspects of the day-to-day legal functions including overseeing all regulatory requirements through proven experience with securities laws, rules and regulations applicable to Registered Investment Advisers and private funds (e.g., private equity or hedge) offering and related matters, including the Investment Adviser Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934, as well as other regulatory agencies including FINRA, NFA/CFTC, ERISA and general corporate law • Work directly with the Founder/Principal, Chief Compliance Officer, and outside legal counsel to ensure the proper adherence to all applicable laws, regulatory and reporting requirements across all business entities and functions of the firm and its funds • Manage the relationship with outside counsel to draft legal documentation, negotiate legal agreements, such as LPAs and side letters, with prospective investors • Review, negotiate and advise on organizational and ancillary documents dealing with fund formation, disclosure documentation, offering process, (e.g., LPA, LLC Agreement, Share Purchase Agreement, Subscription Agreements, NDAs, Non-Reliance Letters, Side Letters) for U.S. and non-U.S. investment funds • Provide advice and counsel regarding the offer and sale of investment products and services throughout the US and in non-US jurisdictions • Monitor and advise on changes to federal and state laws, rules, and regulations applicable to the Firm and its funds. Conduct corresponding trainings, as appropriate, and offer to lead/support with implementation of new protocols needed to ensure compliance • Collaborate with internal stakeholders on firm-wide projects and initiatives including the negotiation, management, and oversight of all vendor contracts, as well as employment and labor issues and practices, focusing on all local, state, and federal mandates • Draft and negotiate investment management agreements for US and non-US institutional separate account clients to ensure sound onboarding and implementation • Negotiate terms and advise investment professionals in the formation, structuring, negotiation and execution of private equity, hedge fund, direct equity, and co-investment transactions • Support litigation-related matters, including discovery or subpoenas for the Firm and its affiliates
Requirements
• Bachelor’s Degree in Law, Finance, Business Administration, or a related field • Juris Doctor or equivalent law degree • Member in good standing of the bar in one or more U.S. states • 12+ years of experience as Chief Legal counsel or General Counsel with a leading Hedge Fund or Family Office • 8+ years of experience dealing with Federal securities laws and federal, state, and local regulations guiding financial institutions including, but not limited to, the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1933, at a Hedge Fund, Investment Management Firm, Family Office, or major law firm supporting U.S. registered investment advisers
Benefits
• 11 paid holidays • Generous Accrued Time Off increasing with years of service • Generous paid sick time • Annual day of service
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