Our client, a well-respected and growing financial services institution in Chicago, IL is seeking a corporate lawyer with 3-5 years’ experience to join its legal department. In this newly created role, you will:
- Assist with general corporate legal matters relating to investment funds, including fund governance.
- Prepare and draft corporate minutes, board materials and attend to general corporate housekeeping.
- Be responsible for coordination of corporate level legal filings and corporate records, including state filings and UCC filings.
- Negotiate and/or draft a wide variety of basic commercial contracts, including software and vendor agreements and NDAs.
- Provide support for capital markets activity, and in general, under the 1933 Act, 1934 Act, 1940 Act and the Investment Advisers Act of 1940 and related federal securities laws.
- Work with legal and accounting teams on earnings releases, earnings call scripts, Forms 10-Q and 10-K, Forms 3, 4 and 5, Forms 8-K and related matters.
- Be responsible for legal entity maintenance including, but not limited to, formation and dissolution of entities.
- Support special projects, including the development and launch of new funds and investment products.
- Provide legal review of marketing, promotional and advertising materials and press releases related to investment funds.
- Monitor compliance with various corporate governance practices and policies, including SOX compliance and the 1933 Act, 1934 Act, 1940 Act and the Investment Advisers Act of 1940.
- Become trusted resource to the business with a focus on improving regulatory and operational processes and strategy.
- Recommend and, where appropriate, drive process changes to enhance efficiency.
As a Successful Candidate You Should Have:
- JD from an accredited law school required.
- 3-5 years’ experience in general corporate work required.
- Prior experience providing legal support to an asset manager and/or BDCs a plus.
- 1940 Act and/or Investment Advisers Act experience a plus.
- Prior experience in lending transactions a plus.
- Strong background in corporate work.
- Knowledge of various securities laws and regulations, including the 1933 Act, 1934 Act, including disclosures and periodic filings.
- Experience using electronic Board portals a plus.
Salary commensurate with experience. Bonus eligible position. Excellent benefits including 401K plan and generous and affordable health care coverage.Submit Resume