Job Summary Provides legal support focused on non-40 Act registered products, including international business, private funds, and institutional client activities under the direction of the General Counsel and in coordination with the Head of Regulatory. This position will also provide legal support for review of the Company's third party vendor contracts and NDAs. This is a junior-to-mid-level generalist role supporting existing and developing products and regulatory frameworks.
Duties and Responsibilities- Provide legal support for non-40 Act registered fund products, including private funds, institutional separate accounts, and non-U.S. offerings.
- Support the Company's international business, including distribution arrangements and coordination with non-U.S. counsel.
- Review and assist with private fund offering documents, subscription materials, and investor side letters.
- Assist with institutional client matters, including review of investment management and advisory agreements.
- Provide legal review of third party vendor contracts and NDAs.
- Provide assistance during SEC, FINRA and other regulatory examinations.
- Support legal department projects as assigned.
Requirements
- Juris Doctorate or Master of Laws degree from accredited law school.
- Active membership in good standing with at least one U.S. state bar and willingness to be licensed in New Mexico.
- 4-8 years of private practice, asset management or government agency experience working with the Adviser's Act and/or the Investment Company Act.
- Strong working knowledge of securities laws, investment regulations, and compliance requirements in the asset management industry.
- Excellent communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams.
- Ability to provide practical, business-oriented legal advice.
- Sound judgment and strategic thinking with a keen attention to detail.
- Willingness to address a range of tasks with dedication, focus and optimism.
Job Benefits- Medical, dental, and vision coverage.
- Employer 401(k) safe harbor and profit-sharing contributions.
- Work/life programs such as flexible work arrangements, flexible paid time off, paid parental leave, employee assistance program, education reimbursement program.
- Community involvement opportunities.
- Onsite cafeteria.
- Onsite fitness center.
- Referral program.
Santa Fe is the capital of New Mexico. Founded in 1610 and nicknamed "The City Different," Santa Fe captures hearts and minds with its museums, restaurants, theater, opera, and adobe-style architecture. With an average of over 300 sunny days per year and picturesque landscape, it's no wonder that outdoor activities such as skiing and hiking in "The Land of Enchantment" attract visitors from around the world.
