Legal Counsel
Core
Provide practical, business-focused legal guidance on registered investment products, regulatory matters, and public disclosures for mutual funds, closed-end funds, and ETFs.
Role type
In-house Legal Counsel (Securities/Investment Funds)
Builds
Fund registration statements, shareholder reports, proxy materials, SEC filings, and board materials for investment products.
Domain
Financial Services / Investment Management / Securities Law
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities law expertise, SEC filing preparation, regulatory disclosure management, fund governance, contract negotiation, project management, legal writing, stakeholder communication
Preferred skills
Experience in major law firms, SEC, or asset management firms, knowledge of 1940 Act and 1933 Act, engagement with SEC staff
Technologies
Legal research databases, SEC EDGAR system, document management systems
Responsibilities
Review and prepare fund registration statements and prospectuses; oversee shareholder proxy materials and reports; manage fund mergers and reorganizations; advise on regulatory rule proposals; collaborate with compliance and business teams on product initiatives.
Seniority
Mid-level, hands-on IC