Senior Financial Planning Consultant
LPL Financial
Senior Director, Corporate Counsel – Investment Fund
Digital Realty
full-time
Posted on:
Origin: • 🇺🇸 United States • California, Illinois, New York
Visit company websiteJob Level
Senior
About the role
- Advise on legal and regulatory matters related to formation, structuring, distribution/marketing, and operation of private funds, including preparing and negotiating PPMs, partnership agreements, term sheets, side letters, placement agreements, investment management agreements, and other fund-related documents
- Support company investment activities: investor due diligence, legal reviews, negotiating terms, and managing engagement letters and investment agreements
- Support and advise client and relationship teams on investor onboarding, respond to investor inquiries, and review marketing materials, investor presentations, RFPs, and DDQs for regulatory compliance
- Monitor and ensure compliance with laws, regulations, and industry standards for private investment funds; assist with regulatory filings including Form ADV, Form PF, and Form D
- Manage compliance with and administration of fund internal policies in coordination with the fund compliance manager
- Draft, negotiate, and manage transaction documents, client agreements, vendor contracts, and NDAs
- Build and maintain relationships with external counsel, clients, and internal teams; oversee outside counsel and coordinate on capital formation, fundraising, and fund-related investment issues
Requirements
- 5+ years of experience at major law firm or in-house legal department working on private funds
- Experience with open-ended and closed-ended funds a plus
- Juris Doctor degree from an accredited law school
- At least one active bar membership/license to practice law in any state
- Strong understanding of the asset management industry and securities markets
- Detailed knowledge of securities laws, rules and regulations relating to investment advisers (Investment Company Act, Investment Advisers Act, Securities Act, SEC rules)
- Understanding of the broker-dealer industry and related FINRA rules is a plus
- Excellent written and verbal communication skills
- Willingness to be very hands-on and proactive; comfortable with technology
- Strong organizational skills; ability to manage multiple tasks and meet deadlines with attention to detail
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