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, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance.

We are a trusted Mutual Fund and 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 mutual funds, such as the Investment Company Act of 1940.
• Help manage a core group of mutual funds and assist in the creation and registration of mutual 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 mutual 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

Must Have Skills:

• 5+ years of Corporate Experience in either Securities, Financial Services or M&As

Nice to Have Skills:

• Compliance Experience is a major plus!
• M&A Experience is a major plus!
• Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority)
• Private Equity Experience is a plus!

What's In It for You:

• $150K-240K+ Bonus
• Health Benefits
• 401K

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