Our client, an established and growing credit focused asset manager, seeks a bright, mid-level corporate attorney to join its legal team in Chicago. This position reports directly to a highly skilled and respected general counsel who is known for his mentoring and development of corporate attorneys and will work alongside other well-trained attorneys.
In this newly created role, you will:
• Assist with general corporate legal matters relating to investment funds,
including fund governance.
• Prepare and draft corporate minutes, board materials and attend to general
• Be responsible for coordination of corporate level legal filings and corporate
records, including state filings and UCC filings.
• Negotiate and/or draft a wide variety of basic commercial contracts, including
software and vendor agreements and NDAs.
• Provide support for capital markets activity, and in general, under the 1933
Act, 1934 Act, 1940 Act and the Investment Advisers Act of 1940 and related
federal securities laws.
• Work with legal and accounting teams on earnings releases, earnings call
scripts, Forms 10-Q and 10-K, Forms 3, 4 and 5, Forms 8-K and related matters.
• Be responsible for legal entity maintenance including, but not limited to,
formation and dissolution of entities.
• Support special projects, including the development and launch of new funds and
• Provide legal review of marketing, promotional and advertising materials and
press releases related to investment funds.
• Monitor compliance with various corporate governance practices and policies,
including SOX compliance and the 1933 Act, 1934 Act, 1940 Act and the Investment
Advisers Act of 1940.
• Become trusted resource to the business with a focus on improving regulatory and
operational processes and strategy.
• Recommend and, where appropriate, drive process changes to enhance efficiency.
As a Successful Candidate You Should Have:
• Excellent academic credentials and a JD from an accredited law school.
• 4-6 years’ experience in general corporate work.
• Prior experience providing legal support to an asset manager and/or BDCs a plus.
• 1940 Act and/or Investment Advisers Act experience a plus.
• Prior experience in lending transactions a plus.
• Knowledge of various securities laws and regulations, including the 1933 Act,
1934 Act, including disclosures and periodic filings.
Salary commensurate with experience. Bonus eligible position. Excellent benefits including 401K plan and generous and affordable health care coverage.
We submit confidential inquiries to our hiring contacts which preserves the confidentiality of the attorney candidate.