Director, Legal Counsel - Elite Investment Advisor
Director, Legal Counsel - Elite Investment Advisor
Larson Maddox
Texas, United States
See who Larson Maddox has hired for this role
SVP, Legal - Elite Investment Advisor
Our client is a registered investment advisor dedicated to providing expert investment advice and management services. They invest in a diverse portfolio of real estate assets across the US and globally. As they continue to grow, our client is seeking a highly experienced and knowledgeable VP of Legal and Compliance to join their team and provide expert guidance on fund and investment-related matters.
Key Responsibilities:
- Advise on corporate, fund, and investment-related legal matters to ensure compliance with all applicable laws and regulations.
- Develop, implement, and manage the company’s compliance program, including policies and procedures to ensure adherence to regulatory requirements.
- Provide legal support on fund formation, structuring, and management, including drafting and reviewing offering documents, partnership agreements, and other related documentation.
- Oversee and manage regulatory filings and interactions with regulatory bodies such as the SEC.
- Conduct legal research and provide updates on relevant regulatory changes that may impact the company’s operations.
- Advise senior management on legal and compliance risks and develop strategies to mitigate these risks.
- Collaborate with internal teams, including investment, operations, and finance, to provide legal and compliance guidance on various business initiatives.
- Manage outside counsel relationships as needed, ensuring effective and efficient legal support for the company’s operations.
- Prepare and present regular reports on legal and compliance matters to senior management and the board of directors.
Qualifications:
- Experience: Minimum of 6 years of experience working on fund compliance at a reputable law firm and/or another registered investment advisor.
- Education: Juris Doctor (JD) degree from an accredited law school.
- Expertise in investment advisor regulations, including the Investment Advisers Act of 1940.
- Strong knowledge of fund formation, structuring, and management.
- Excellent analytical, organizational, and communication skills.
- Ability to work independently and collaboratively in a fast-paced environment.
- Proven track record of managing complex legal and compliance matters and providing strategic guidance to senior management.
Please don't hesitate to apply as the role will be filled promptly!
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Seniority level
Director -
Employment type
Full-time -
Job function
Legal -
Industries
Financial Services, Legal Services, and Law Practice
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