Legal Counsel Investment Management and Securities

Profile

Job Overview

A company seeks a Legal Counsel in Atlanta, Georgia, to provide legal guidance on registered investment products, securities regulation, disclosure, and related corporate initiatives. The attorney will primarily support mutual funds, closed-end funds, and exchange-traded funds, advising on regulatory filings, governance, product implementation, and strategic transactions. This role involves substantial collaboration with legal, compliance, investment, finance, product, and distribution professionals and provides exposure to significant regulatory and investment management matters.

Duties

• Advise on registered investment products, securities regulation, disclosure requirements, and related legal and corporate matters.
• Oversee the preparation and review of initial and ongoing fund registration statements, prospectuses, supplements, statements of additional information, and private placement memoranda.
• Prepare and review filings on SEC Forms N-1A, N-2, N-14 and Schedule 14A under applicable federal securities laws.
• Provide legal support for product line changes, fund launches, mergers, reorganizations, shelf offerings, and other product initiatives.
• Advise on the implementation of regulatory changes and participate in matters involving regulatory rule proposals and related advocacy.
• Oversee shareholder proxy initiatives, including materials concerning routine and special voting matters and shareholder meetings.
• Review shareholder reports and public disclosures filed on SEC Forms N-CSR, N-CEN, N-PORT, and N-PX.
• Prepare, supervise, and review materials for fund boards and support related governance matters.
• Collaborate with internal counsel, business teams, independent fund auditors, fund counsel, and independent trustee counsel on regulatory and product initiatives.
• Provide practical legal advice that appropriately balances regulatory and legal risks with commercial and strategic objectives.
• Advise internal and external stakeholders on securities law matters and other legal and corporate projects supporting business initiatives.
• Develop effective working relationships with senior legal leadership, business executives, and professionals across compliance, finance, investments, and other functions.

Requirements

• Four to six years of relevant legal experience involving investment management, investment companies, securities regulation, or closely related matters.
• Strong understanding of legal issues affecting registered and unregistered investment companies under federal securities laws, particularly the Investment Company Act of 1940 and Securities Act of 1933.
• Experience with regulatory disclosure and SEC forms applicable to registered investment products.
• Experience communicating directly with SEC staff regarding disclosure, registration, or regulatory matters.
• Experience at a major law firm, the SEC or another relevant regulatory agency, an asset management firm, investment adviser, or another financial services organization is preferred.
• Ability to exercise independent judgment and translate complex legal and regulatory issues into practical business guidance.
• Ability to manage projects independently while collaborating effectively within an established legal team.

Education

• Juris Doctor degree.

Certifications

• Active membership in a state bar.

Skills

• Investment management and securities law.
• Registered investment company regulation.
• SEC registration, disclosure, and regulatory filings.
• Fund governance and shareholder matters.
• Legal and regulatory analysis.
• Project management and organizational skills.
• Strong analytical, writing, and communication skills.
• Sound commercial judgment and practical problem-solving.
• Relationship management and cross-functional collaboration.

Benefits

• Flexible paid time off.
• Hybrid work schedule.
• 401(k) matching of 100% on the first 6%, with a discretionary supplemental contribution.
• Health and wellbeing benefits.
• Parental leave benefits.
• Employee stock purchase plan.

Company info

BCG Attorney Search
400 Perimeter Center Ter NE Ste 900
Atlanta
Georgia
United States 30346
Phone : 770-450-2000
Fax : (213) 895-7306