Registered Fund Attorney - Senior Vice President

The role

This Senior Vice President will assist with the expansion and management of iCapital's registered 1940 Act product launch and regulatory program. The role involves working on legal and regulatory matters for registered funds including TO Funds, Interval Funds, ETFs, CITs, UITs and SMAs.

What you will do

• Partner with Product Development, Finance and Product Maintenance Teams to structure, launch, distribute and maintain various funds.
• Negotiate agreements with distributors, service providers, fund managers and other closed-end funds.
• Draft and review registered fund offering materials and legal documentation.
• Assist regulatory and compliance with matters pertaining to the 1933 Act, 1934 Act and 1940 Act.
• Advise on legal implications of offering new and existing products and services.
• Coordinate use of outside legal counsel.
• Assist with Corporate Governance related matters for registered investment companies.
• Assist with issues related to ERISA and Banking laws.
• Review materials for SEC, CFTC/NFA or FINRA compliance.
• Draft, review and negotiate various types of fund and related contracts.

Required qualifications

• 6+ years of fund formation experience within the registered fund or mutual fund space
• Strong knowledge of the 1933 Act, 1934 Act and 1940 Act and Forms N-1A and N-2
• Strong knowledge and experience related to the development, launch, distribution and maintenance of TO Funds and Interval Funds, or alternatively UITs or CITs
• Member in good standing of NY, CT Bar or another state or relevant jurisdiction
• Demonstrated ability to manage fund launch and completion of related documentation in accordance with project plans
• Strong interpersonal and communication skills
• Willingness to learn new topics and work in an evolving business environment
• Organized and detail-oriented with big picture capabilities

Nice to have

• Law firm or in-house experience at an asset management firm
• Commodity Exchange Act and NFA Rules experience

Benefits

• Salary
• Equity for all full-time employees
• Annual performance bonus
• Employer matched retirement plan
• Generously subsidized healthcare
• 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
• Parental leave
• Unlimited paid time off (PTO)

About the company

iCapital is seeking a Senior Vice President to join its Legal Department, Registered Funds Legal Team.