General Counsel - Investment firm

8 - 10 years experience  •  Financial Services

$180K - $350K
Posted on 11/08/17 by Gregory Copeland
Confidential Company
Fort Lauderdale, FL
8 - 10 years experience
Financial Services
$180K - $350K
Posted on 11/08/17 Gregory Copeland


Leading investment firm is seeking an experienced mid to senior-level attorney, who will work independently but collaboratively as part of a small and fast-paced organization. The General Counsel will play a critical role in architecting the firm’s legal framework, strategy and infrastructure to scale with the rapidly growing organization. In addition, this individual will also handle a wide range of business related legal matters, including regulatory reporting, compliance, corporate governance, client and vendor transactions, contract review, labor matters, and a variety of other corporate matters. This is a fast-paced and innovative environment, often with multiple competing deadlines, so the ability to diligently multi-task is an invaluable skill.




  • Strategize, design and implement the firm’s legal strategy, internal and external framework and database systems
  • Review and maintain a variety of commercial transactions including: subscription and license, vendor and employment agreements; CDAs/NDAs; and intellectual property contracts/applications
  • Maintain business and legal records
  • Perform and manage contract administration
  • Manage corporate governance and record
  • Work with outside counsel in formulating and implementing policy and ensuring compliance with regulations with respect to a wide range of matters, including corporate governance, investment advisory, intellectual property, and privacy and information security
  • Ensure company compliance with publishing and securities laws and company policies, which includes periodic review of advertising and marketing copy and review of personal trading records
  • Work with outside counsel in maintenance of the Company’s intellectual property portfolio, including securing and enforcing copyright and trademark rights
  • Other specialized legal projects as needed


Qualifications & Experience

  • JD, with strong academic credentials
  • New York bar admission
  • Should have 8+ years of work experience preferably with time spent in both law firm and in-house environments (latter is a very strong plus)
  • Deep experience with the legal frameworks and compliance landscape of alternative investment vehicles and asset managers in general (examples include: hedge funds, fund of funds, family offices, pensions, sovereign wealth, foundations, endowments and mutual funds)
  • Prior experience and familiarity with SEC compliance (’33 Act and Investment Advisor Act) and broad exposure to corporate governance matters
  • Familiarity with intellectual property law
  • Experienceworking with company boards and institutional investors
  • Flexibility and willingness to work on a broad variety of legal matters
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