Securities Counsel - Elite Investment Firm

The Firm:An established Investment Firm handling more than $10billion in assets under management, including permanent capital is sourcing for a legal counsel to join their in-house team. The firm pursues multiple strategies in the US, including direct lending, private equity, real estate private equity, and structured credit. It employs a long-term, value-oriented approach that uses fundamental bottoms-up research to identify investments offering attractive risk and reward.With offices in New York City, Connecticut, and Florida, the firm is comprised of 140+ experienced professionals who value entrepreneurship, intellectual rigor, hard work, and continuous improvement.Responsibilities:The ideal candidate will have a JD degree from a top-tier institution and at least 3 years of relevant experience in the following areas:Compliance with the Securities Act of 1933 and Securities Exchange Act of 1934Securities compliance, particularly under the Investment Company Act of 1940Registered closed-end investment companiesBusiness development companies (BDCs)Legal oversight of securities formation, regulatory filings, and operational complianceContract and entity management for securities vehiclesInstitutional risk mitigation and securities law implications for investment fundsAdvising on regulatory developments impacting securities and REITsSpecial projects related to the firm's securities strategies and structuringPreferred Experience:In-depth knowledge of the Investment Company Act of 1940, particularly as it applies to securities and other closed-end fundsStrong understanding of legislative and regulatory changes impacting the firm's contracts and investment vehicles, with experience in contract negotiation and regulatory complianceIndividual Opportunity and Culture:Opportunity for autonomy and personal growth in a high-performance, entrepreneurial, intellectually challenging, and vibrant investment firm, where personal and business goals are achieved and exceeded.

Created: 2025-03-07