Principal Legal Counsel

SS&C • Denver, CO

3d • Hybrid

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, provides legal administration services to SS&C clients, and prepares and negotiates fund-related agreements as needed. The role advises on investment adviser, mutual fund, ETF, and closed-end fund legal matters; oversees regulatory filings with the U.S. Securities and Exchange Commission; and supports fund board meetings. The position is based in Denver, Colorado, or Boston, Massachusetts, on a hybrid schedule, with on-site work required at least six days per month.

Requirements

• Juris Doctorate.
• At least 10 years of experience at a law firm or financial services firm, focused on Advisers Act and Investment Company Act of 1940 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 the ability to communicate effectively 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 regulatory filings for mutual funds, ETFs, and closed-end funds with the U.S. Securities and Exchange Commission, including registration statements on Forms N-1A and N-2.
• Prepare and oversee production of materials for Investment Company Act of 1940 fund board meetings, attend board meetings, and draft minutes.
• Collaborate with paralegal teams to provide 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 an annual discretionary 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

What This Job Offers

• Job Type: Full-time
• Career Level: Principal
• Education Level: Ph.D. or professional degree