Registered Fund Attorney - Vice President

Description:

The Financial Technology Company is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. The Financial Technology Company services approximately $184 billion in global client assets invested in 1,471 funds, as of March 2024.
The Financial Technology Company has been named to the Forbes Fintech 50 for seven consecutive years (2018-2023); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023); and a three-time winner of MMI/Barron's Solutions Provider award (See link below).
About the role:
The Financial Technology Company is looking to hire a Registered Fund AttorneyVice President to join the Legal team. The focus of this role will include representing perpetual capital vehicles in the 1940 Act space on a wide spectrum of matters including compliance and regulatory issues, capital raising, marketing, investor relations, fund formation and structuring, corporate transactional matters, etc. The ideal candidate should have exposure to all aspects of the retail investment management business and should have experience in drafting and negotiating fund documents and related fund materials. In addition, experience with transitioning private markets investments into interval funds and tender offer closed-end funds registered under the 1940 Act is a strong plus. This individual will work closely with both our General Counsel and Deputy General Counsel throughout the fund formation process.
Responsibilities:

• Negotiate various agreements with counterparties including fund managers and BDCs, non-traded REITs, private REITs, and other closed-end funds registered under the 1940 Act.
• Draft and review of Registered Fund offering materials, and private fund legal documentation.
• Assist regulatory and compliance with the substantive provisions of the 1940 Act, including those governing affiliated transactions, fund-of-fund arrangements, and advisory and distribution contracts.
• Advise on the legal implications of offering new and existing products and services.
• Coordinate use of outside legal counsel with respect to a variety of issues including regulatory, corporate and fund investment work.
• Review materials for SEC and FINRA compliance.
• Draft and review various contracts, non-disclosure agreements and other legal documentation.
• Perform ad hoc research projects.

Qualifications:

• 5+ years of fund formation experience within the Registered Fund or mutual fund space
• Strong knowledge of the 1940 Act.
• Member in good standing of New York Bar or another state or jurisdiction
• Law firm or in-house experience at an asset management firm is a plus
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• High level of integrity
• Organized and detail-oriented with big picture capability
  

---