Principal Legal Counsel
About The Position
The Principal Legal Counsel supports Investment Company Act of 1940 fund governance and registration matters for open-end and closed-end funds and provides legal administration services to SS&C clients. The role prepares and negotiates fund-related agreements and provides advice on investment adviser, mutual fund, ETF, and closed-end fund legal matters. The position prepares and oversees SEC regulatory filings, including registration statements on Forms N-1A and N-2, and materials for '40 Act fund board meetings. It attends board meetings and drafts minutes, collaborates with paralegal teams, prepares and reviews advisory, transfer agency, and fund administration agreements, and monitors and reports on regulatory developments. The role may supervise one or more paralegals depending on experience. The position is based in Denver, Colorado, or Boston, Massachusetts, with a hybrid work arrangement and an on-site requirement of at least six days per month.
Requirements
- Juris Doctorate.
- 10 or more years of experience at a law firm or financial services firm focusing on Advisers Act and '40 Act practice.
- Ability to manage multiple client matters simultaneously.
- Ability to work with little supervision.
- Advanced computer skills, including Microsoft Office applications such as Word, Excel, and PowerPoint.
- Excellent verbal and written communication skills, with a strong ability to communicate with internal and external clients.
- Willingness to work on site at least six days per month.
Nice To Haves
- Experience with AI platforms.
Responsibilities
- Provide advice and expertise on investment adviser, mutual fund, ETF, and closed-end fund legal matters.
- Prepare and oversee production of mutual fund, ETF, and closed-end fund regulatory filings with the U.S. Securities and Exchange Commission, including registration statements on Form N-1A and Form N-2.
- Prepare and oversee production of materials for '40 Act fund board meetings, attend board meetings, and draft minutes.
- Collaborate with paralegal teams in providing legal administration services.
- May supervise one or more paralegals, depending on experience.
- Prepare and review advisory, transfer agency, and fund administration agreements.
- Monitor and report on regulatory developments.
- Perform other duties as assigned.
Benefits
- Medical coverage
- Dental coverage
- Vision coverage
- 401(k) plan with company match
- Paid time off
- Paid holidays
- Parental leave
- Professional development reimbursement opportunity
- May be eligible for consideration for a discretionary annual bonus and/or equity awards, such as restricted stock units or stock options, based on individual and business performance and at the company's discretion
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Principal
Education Level
Ph.D. or professional degree
