Associate General Counsel - Asset Management

· Draft, review, and negotiate service provider agreements: custody, fund administration, distribution, index licensing, sub-advisory, ISDA/swap documentation, and AP agreements.

· Prepare exemptive relief applications and no-action letter requests.

· Review marketing materials and investor communications for 40-Act and Advisers Act compliance.

· Coordinate with outside counsel (Greenberg Traurig) and the outsourced CCO (Aspect Advisory) to manage legal and compliance workflows.

· Monitor regulatory developments affecting registered funds and investment advisers.

Who You Are

· JD from an accredited law school and active bar membership in at least one U.S. jurisdiction. Non-negotiable.

· 2-5+ years practicing investment management law at a fund-focused law firm, in-house at an asset manager, or at an ETF issuer. You know the '40 Act and/or the Advisers Act.

· You've drafted or substantially revised registration statements (Form N-1A) and responded to SEC staff comments. More than once.

· You've managed RIA compliance programs or worked closely enough with one to own it in-house: Form ADV, code of ethics, compliance testing, books and records.

· You move fast. We file more in a quarter than most emerging managers file in a year. If your instinct is to schedule a meeting about scheduling a meeting, this isn't the right fit.

Nice to Have

· Experience at a startup, emerging ETF issuer, or early-stage asset manager.

· Familiarity with leveraged, inverse, or derivatives-based ETFs (swaps, ISDA, futures-based products).

· Experience with exemptive relief applications under the '40 Act.

· Series 7, 63, 65, or 66 licenses.

· Prior SEC examination or enforcement experience (staff-side or defense-side)

· Insurance regulatory experience (captives, RRGs, state DOI filings).

A meeting lands on your calendar

If they’re a yes, I book the chat. You show up — that’s the whole job-hunt.