Corporate Counsel

PRACTICE AREA: , , , , ,
LOCATION: Illinois
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Our client, a well-respected and growing financial services institution in Chicago, IL is seeking a corporate lawyer with 4-6 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.
  • 4-6 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.

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