Job Title: Assistant General Counsel
Location: Wheaton, IL (Onsite)
Compensation: $150K-240K+Bonus DOE
Skills: Corporate Experience related to either Securities (33 Act, public offerings), or M&As, Private Equity, Private Fund, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance.
We are a trusted Mutual Fund and Financial Services company that needs an exceptional Assistant General Counsel to join our elite legal team. If you have 5+ years of corporate experience and a passion for Securities Law, then this may be a perfect fit for you!
In this role, you will:
- Ensure compliance with applicable securities laws and regulations governing mutual funds, such as the Investment Company Act of 1940.
- Help manage a core group of mutual funds and assist in the creation and registration of mutual funds
- Review registration statements and annual shareholder reports
- Attend board meetings and review board materials, and ensure adherence to internal policies and regulatory requirements
- Identify and manage risks associated with mutual fund operations and conduct due diligence for potential investments, ensuring that funds are in compliance with legal and regulatory requirements
- Conduct legal due diligence for corporate transactions, mergers, acquisitions, and other strategic initiatives.
- Perform tasks assigned by Senior Corporate Counsel
Must Have Skills:
- 5+ years of Corporate Experience in either Securities, Financial Services or M&As
Nice to Have Skills:
- Compliance Experience is a major plus!
- M&A Experience is a major plus!
- Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority)
- Private Equity Experience is a plus!
What's In It for You:
- $150K-240K+ Bonus
- Health Benefits
- 401K
