Description:

Role Overview:
As Vice President of Legal, you'll be managing A Financial Services Company's fund formation and regulatory compliance, playing a pivotal role in supporting our firm's investment activities. You will be responsible for overseeing all legal aspects of fund formation, structuring, and compliance, ensuring adherence to relevant regulations and laws. The ideal candidate will have extensive experience in fund formation, a strong understanding of regulatory requirements, and exceptional analytical and communication skills.

Responsibilities:

Draft and negotiate fund documents, including offering memorandums, subscription agreements, and management agreements; Advise on and structure different investment products to be launched (fund of funds, feeder funds, direct investment SPVs).
Work with underlying managers to ensure that their investment strategies are aligned with the investment platform's objectives and that they are in compliance with all applicable laws and regulations.
Negotiate with key stakeholders especially over distribution agreements and side letters.
Assist the fund administration team in performing fund closings, including subscription agreement compliance and SEC filings.
Develop and implement internal compliance policies and procedures, specifically the A Financial Services Company Compliance Manual and Code of Ethics
Provide primary oversight and supervision of the Investment Advisers Act of 1940 and any rules adopted by the SEC under the Act, to prevent violations by the firm.
Annually file and amend the firm's ADV to ensure compliance with SEC filing requirements
Assist with managing regulatory exams, investigations and inquiries conducted by FINRA, SEC and state regulators coordinating with regulators, auditors, compliance personnel and each business unit management
Conduct compliance training, ensuring courses are compatible with applicable regulations
Familiarity with technology and its impact on regulatory and compliance matters

Qualifications:

Juris Doctor (JD) from a top-tier law school and active membership in good standing with the state bar.
8+ years of experience practicing law with a focus on fund formation and regulatory compliance, preferably in a major law firm or large asset management institution.
Extensive knowledge of investment fund structures, including private equity, venture capital, private credit, and real estate funds.
Strong understanding of regulatory frameworks governing investment funds, including SEC regulations (e.g., Investment Advisers Act of 1940, Securities Act of 1933).
Excellent drafting and negotiation skills, with the ability to review and draft complex legal documents with precision.
Exceptional analytical and problem-solving abilities, with keen attention to detail.
Effective communicator with the ability to convey complex legal concepts clearly and concisely.
Proven ability to work collaboratively in a fast-paced environment and manage multiple priorities simultaneously.