Under the supervision of the General Counsel and Senior Counsel, provide general legal support to OFS on various corporate matters, including (i) assisting with corporate legal matters relating to investment funds, including fund governance; (ii) preparing corporate minutes and board materials and attending to general corporate housekeeping; and (iii) effecting capital markets and other financial transactions. The OFS culture is fast-paced, down-to-earth, collaborative and collegial.
- Assist with general corporate legal matters relating to investment funds, including fund governance.
- Prepare and draft corporate minutes, board materials and attend to general corporate housekeeping.
- Responsible for coordination of corporate level legal filings and corporate records, including state filings and UCC filings.
- Negotiate and/or draft a wide variety of basic commercial contracts, including software and vendor agreements and NDAs.
- Provide support for capital markets activity, and in general, under the 1933 Act, 1934 Act, 1940 Act and the Investment Advisers Act of 1940 and related federal securities laws.
- Work with legal and accounting teams on earnings releases, earnings call scripts, Forms 10-Q and 10-K, Forms 3, 4 and 5, Forms 8-K and related matters.
- Responsible for legal entity maintenance including, but not limited to, formation and dissolution of entities.
- Support special projects, including the development and launch of new funds and investment products.
- Provide legal review of marketing, promotional and advertising materials and press releases related to investment funds.
- Monitor compliance with various corporate governance practices and policies, including SOX compliance and the 1933 Act, 1934 Act, 1940 Act and the Investment Advisers Act of 1940.
- Become trusted resource to the business with a focus on improving regulatory and operational processes and strategy.
- Recommend and, where appropriate, drive process changes to enhance efficiency.
- JD from an accredited law school required.
- 3-5 years' experience in general corporate work required.
- Prior experience providing legal support to an asset manager and/or BDCs a plus.
- 1940 Act and/or Investment Advisers Act experience a plus.
- Prior experience in lending transactions a plus.
- Strong background in corporate work.
- Knowledge of various securities laws and regulations, including the 1933 Act, 1934 Act, including disclosures and periodic filings.
- Experience using electronic Board portals a plus.
CIM does not accept unsolicited resumes from Agencies. Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid. If you wish to become an approved Agency with CIM or any of its Affiliates, please contact a member of the CIM Talent Acquisition Team.