Job Description
Job Description
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:
- 5+ years of Corporate Experience in either Securities, Financial Services, or broker-dealer or securities compliance with emphasis on private funds.
Nice to Have Skills:
- 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.
What's In It for You:
- $150K-240K+ Bonus
- Health Benefits
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