Associate General Counsel - Mutual Funds

Neuberger Berman•New York, NY

14h•$200,000 - $225,000•Hybrid

About The Position

Neuberger is seeking an experienced attorney in the Investment Company Act of 1940 to join its New York-based Legal and Compliance Team. The position provides legal advice and support for Neuberger Berman’s U.S. registered fund business, including mutual funds, exchange-traded funds, and closed-end funds, as well as support for intermediary distribution efforts. The role reports to the General Counsel – U.S. Registered Funds. It offers an opportunity to work on sophisticated investment management matters with substantial contact with business teams and clients.

Requirements

Bachelor’s degree and JD.
Member of the New York State Bar, or ability to waive in.
At least 5 years of experience working with U.S. registered funds and the Investment Company Act of 1940 at a major U.S. law firm or in-house legal department.
Mutual funds and Investment Company Act of 1940 experience.
Ability to work independently and recognize when to seek guidance in complex situations.
Proactive approach and ability to engage and communicate effectively with senior management.
Must be authorized and have the right to work in the country where the role is located without current or future sponsorship.

Nice To Haves

Experience working with boards of trustees or directors of U.S. registered products is strongly preferred.
Experience working on intermediary relationships for U.S. registered products is a plus.

Responsibilities

Provide ongoing advice on structuring and maintaining registered investment vehicles, including preparing and reviewing registration statements.
Advise internal business clients, including portfolio managers and marketing and sales personnel, on legal and regulatory matters related to current and proposed business and operational initiatives.
Maintain productive relationships with regulators, internal and external clients, and boards of trustees or directors through responsiveness and client service.
Prepare materials for boards of trustees or directors on routine and ad hoc legal and compliance matters.
Draft and negotiate investment management agreements, intermediary distribution and servicing agreements, non-disclosure agreements, and agreements with service providers.
Monitor new regulatory developments and act as a liaison in implementing rules and regulations.
Review marketing materials and other client communications, including client information requests and requests for proposals.
Adjust responsibilities to accommodate changing priorities while managing multiple requirements and timelines.