Senior Director, Counsel (Securities) – Rapidly Growing Investment Manager
Leading asset management organization seeks an experienced securities attorney to serve as a senior legal advisor supporting a sophisticated investment products platform. This role partners closely with executive leadership, business teams, and compliance professionals to provide strategic legal guidance on registered investment products, securities offerings, regulatory matters, and fund operations.
The position offers exposure to a broad range of investment vehicles and complex legal and business issues within a dynamic and highly regulated financial services environment.
Key Responsibilities
- Provide practical, business-oriented legal advice to senior management and internal stakeholders on securities law, regulatory, and investment management matters.
- Advise on the structure, development, launch, and ongoing maintenance of registered investment products and related securities offerings, including exchange-traded products, mutual funds, interval funds, and other investment vehicles.
- Draft, review, and maintain offering documents, registration statements, shareholder communications, and periodic regulatory filings.
- Support product development, strategic initiatives, and business expansion efforts through proactive legal counseling and risk assessment.
- Interface with federal and self-regulatory agencies on examinations, filings, inquiries, and other regulatory matters.
- Draft, review, and negotiate agreements with custodians, administrators, distributors, transfer agents, authorized participants, and other third-party service providers.
- Identify legal and regulatory risks and recommend practical solutions aligned with business objectives.
- Coordinate with outside counsel and support process improvements within the legal and compliance functions.
Qualifications
- Juris Doctor degree and active bar membership in at least one U.S. jurisdiction.
- Significant experience advising investment managers, registered funds, financial institutions, or other participants in the asset management industry.
- Deep expertise across the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, and related commodities regulations.
- Experience managing registered securities offerings, fund governance matters, disclosure obligations, and ongoing regulatory compliance.
- Familiarity with SEC, CFTC, FINRA, and NFA regulatory matters within sophisticated in-house and/or law firm environments.
- Experience negotiating and advising on fund service provider and commercial agreements.
- Prior in-house experience and/or experience at a nationally recognized law firm preferred.
For additional information contact:
Peter French
VP & Executive Recruiter, Legal Practice Lead
(443) 691-1494
pfrench@rogangroup.com