Manage and assist with the formation of investment vehicles, including structuring, initial filings and incorporation, and preparation/review of fund documentation (LP agreements, PPMs, subscription documents)
Monitor and maintain compliance with laws, regulations, filings, and industry standards applicable to registered advisers and private investment funds
Assist in the preparation and submission of regulatory filings, reports, and disclosures to regulatory authorities
Perform due diligence on private fund investments and co-investments; negotiate terms and side letters
Support investor onboarding, review subscription documentation, verify client due diligence, and handle transfer requests
Draft, review, and maintain legal documentation, including Form ADV, client agreements, and compliance-related materials
Collaborate with team members and support internal projects; report to General Counsel
Assist General Counsel and engineering teams in development of new legal product offerings
Requirements
At least 6 years of fund formation experience, in-house or at a law firm
Strong understanding of the asset management industry and securities markets
Detailed knowledge of securities laws, rules and regulations relating to investment advisers (e.g., Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Act of 1934, Securities Act of 1933, Commodities Exchange Act, SEC rules)
Understanding of the broker-dealer industry and related FINRA rules is a plus
Experience with bank regulatory regimes is a plus
Willingness to be very hands-on and proactive in offering solutions
Comfortable with AI, technology and data
Strong organizational skills and ability to manage multiple tasks and meet deadlines
Excellent written and verbal communication skills
Ability to interact professionally with clients and team members
Benefits
Medical, dental, vision
Responsible time off (RTO)
401k
Equity
May be eligible for a discretionary bonus if an active employee as of fiscal year-end
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