Senior Counsel – Mutual & Private Fund Distribution, Wealth & Investment Management
Wells Fargo
full-time
Posted on:
Location Type: Hybrid
Location: Charlotte • Massachusetts • Minnesota • United States
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Salary
💰 $139,000 - $260,000 per year
Job Level
About the role
- Advise on the distribution of mutual funds, ETFs, and other registered products, including compliance with the Investment Company Act of 1940 and related SEC rules (e.g., Rule 12b‑1, Rule 22c‑1, Regulation Best Interest).
- Provide legal support for the distribution of private funds, including private placements under Regulation D, Regulation S, and related state blue sky requirements.
- Draft, review, and negotiate distribution‑related agreements, including selling agreements, dealer agreements, sub‑advisory arrangements, placement agent agreements, and intermediary contracts.
- Advise on marketing and advertising materials for registered and private funds, including compliance with SEC advertising and marketing rules.
- Counsel business partners on broker‑dealer, investment adviser, and intermediary regulatory issues.
- Monitor regulatory developments impacting fund distribution and provide proactive guidance to business and compliance teams.
- Collaborate closely with compliance, operations, product, and sales teams to facilitate compliant product launches and initiatives.
Requirements
- 4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Active State Bar membership or the equivalent in a country outside the United States
- Deep understanding Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules
- Prior in‑house experience at an asset manager, fund sponsor, or financial services firm.
- Experience with ETFs, interval funds, or alternative investment products.
- Experience supporting both broker-dealer and bank distribution channels.
- Demonstrated flexibility to adapt to dynamic scope of role to support changing business and Legal department priorities.
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
legal supportdrafting agreementsnegotiating agreementscompliancefund distributionprivate placementsregulatory guidancemarketing compliancebroker-dealer issuesinvestment adviser issues
Soft Skills
collaborationadvisory skillsflexibilitycommunicationproblem-solving
Certifications
Active State Bar membership