Associate General Counsel - Mutual Funds

Our client is seeking a distinguished legal professional to join the esteemed Legal and Compliance Team, providing comprehensive support to the U.S. registered fund business encompassing mutual funds, exchange-traded funds and closed-end funds. This position is particularly well-suited to an attorney who appreciates intellectual variety, values meaningful collaboration with business teams and clients, and excels in offering expert guidance on sophisticated investment management matters.

Key Responsibilities:
In the capacity of Associate General Counsel, Mutual Funds, you will assume a central role in addressing the legal requirements of the U.S.-registered fund business. Your daily undertakings will encompass advising on the structuring of investment vehicles; preparing essential documentation to uphold regulatory compliance; collaborating closely with business teams on operational initiatives; maintaining open channels of communication with key stakeholders including boards of trustees or directors; drafting critical contracts that underpin vital business relationships; remaining vigilant regarding regulatory changes affecting the industry; reviewing client-facing materials for compliance purposes; and adapting seamlessly to evolving priorities. Success in this position will be defined by your ability to deliver considered legal counsel across diverse subject areas whilst nurturing positive relationships throughout the organization.

• Provide ongoing legal counsel regarding the structuring and maintenance of registered investment vehicles, ensuring meticulous compliance with all pertinent regulations.
• Prepare and review registration statements for mutual funds, exchange-traded funds, and closed-end funds as part of routine operations, maintaining the highest standards of accuracy.
• Advise internal business clients—including portfolio managers, marketing teams, and sales personnel—on legal and regulatory matters related to both current initiatives and prospective projects.
• Cultivate productive relationships with regulators as well as internal and external clients by demonstrating exceptional responsiveness and an unwavering commitment to client service.
• Prepare materials for boards of trustees or directors on both routine and ad hoc legal and compliance topics, ensuring clarity, thoroughness, and relevance at all times.
• Draft, review, and negotiate a wide array of contracts, including investment management agreements, intermediary distribution agreements, servicing agreements, non-disclosure agreements, and contracts with various service providers.
• Monitor new regulatory developments diligently; act as liaison for the implementation of new rules and regulations impacting the fund business.
• Review marketing materials along with other client communications, such as information requests or proposals, to ensure their accuracy and full compliance with applicable requirements.
• Adjust responsibilities proactively to accommodate shifting priorities while managing multiple requirements efficiently under organizational needs.

Key Requirements:
To flourish as Associate General Counsel, Mutual Funds, you will possess demonstrable expertise in investment management law, particularly concerning U.S. registered funds, and an extensive understanding of the Investment Company Act of 1940. Your professional background will include substantive experience advising on fund structures at either a leading law firm or within a reputable in-house legal function. You will have shown discernment in interacting thoughtfully with boards of trustees or directors while also managing intermediary relationships where appropriate. Your capacity for independent work will be complemented by sound judgement regarding when collaboration is warranted. Exceptional interpersonal abilities will enable you to communicate effectively with colleagues at all levels—including senior management—while your meticulous attention to detail ensures consistently high-quality output even when balancing competing demands.

• A Bachelor’s degree accompanied by a Juris Doctor (JD) qualification is requisite for this appointment.
• Membership in the New York State Bar or eligibility for admission by waiver into New York is indispensable for consideration.
• A minimum of four years’ experience working with U.S.-registered funds under the Investment Company Act of 1940 at either a prominent law firm or within an established in-house legal department is required.
• Demonstrated experience engaging with boards of trustees or directors overseeing U.S.-registered products is highly desirable.
• Prior involvement in managing intermediary relationships for U.S.-registered products would be advantageous, though not obligatory.
• The ability to work independently whilst recognizing when it is prudent to seek guidance in complex situations is essential for success.
• A proactive approach combined with exemplary communication skills enables effective engagement with senior management across departments.
• Outstanding organizational skills are necessary to manage multiple projects concurrently whilst adjusting priorities as circumstances dictate.

What sets this company apart:

• This organization distinguishes itself as an employer dedicated to cultivating a collaborative environment wherein every team member’s contribution is esteemed.

What's next:
If interested in this position, please contact Robert Moseman at +1 332 205 3879 or Robert.Moseman@robertwalters.com