Assistant General Counsel
TalentlyWheaton, IL, USjob_description.job_card.30_days_ago
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job_description.job_card.job_description5+ years of Corporate Experience in either Securities, Financial Services, or broker-dealer or securities compliance with emphasis on private funds. Compliance Experience is a major plus! FINRA licenses : Series 24 (Series 7 / 63 / 66 strongly preferred). Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority) Private Equity Experience is a plus! Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds. Strong knowledge of Reg D, FINRA Rules 2111 / 2210 / 5122-5123, and Reg BI. $150K-240K+ Bonus Health Benefits
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 Offerings, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance, Alternative Investments.
We are a trusted 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 funds, such as the Investment Company Act of 1940.
- Help manage a core group of funds and assist in the creation and registration of 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 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.
- Oversee alternative investment private offering platform processes for offering private funds (Reg D, 506(c)).
- Ensure suitability analysis and Reg BI compliance for investors.
- Provide compliance oversight for non-traded REITs, DSTs, tender / interval funds and co-investment vehicles.
- Review PPMs, fund offering documents, and marketing materials for compliance with SEC / FINRA rules.
Must Have Skills :
Nice to Have Skills :
What's In It for You :
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Assistant General Counsel • Wheaton, IL, US