Investment Product Attorney, 34 Act Focus - Vice President

About the Role

iCapital is looking to hire an Investment Product Attorney, Vice President, with capital markets and related regulatory expertise to join the Legal team. The focus of this role will include advising on registered and private investment products that are registered under the Securities Exchange Act of 1934 (1934 Act) and on a wide spectrum of related matters including compliance and regulatory issues, regulatory filings, distribution- and marketing-related matters, investor relations, fund formation and structuring, and corporate transactional matters. The ideal candidate should have exposure to all aspects of the retail investment management business and should have experience in drafting and negotiating investment product documents, service provider contracts, distribution agreements and related materials. In addition, in-depth knowledge of the 1934 act is required, including with experience in preparing Form 10s, Form 10-Qs and Ks, 8-Ks, etc.

Responsibilities

• Negotiate various agreements with counterparties including fund managers, service providers and distributors.

• Assist regulatory and compliance teams with the substantive provisions of the 1934 Act

• Assist with 1934 Act filings

• Advise on the legal implications of offering new and existing products and services.

• Coordinate use of outside legal counsel with respect to a variety of issues including regulatory, corporate and fund investment work.

• Review materials for SEC and FINRA compliance.

• Draft and review various contracts, non-disclosure agreements and other legal documentation.

• Perform ad hoc research projects.

Qualifications

• 5+ years of experience

• Strong knowledge of the 1934 Act is a requirement of this job

• Experience with the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940 is a plus

• Member in good standing of New York Bar or another state or jurisdiction

• Law firm or in-house experience at an asset management firm is a plus

• Strong interpersonal and leadership skills

• Willingness to learn new topics and work in an evolving business environment

• Organized and detail-oriented, with big picture capability

Benefits

The base salary range for this role is $200,000 to $220,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office four days, with the flexibility to work remotely one day. Every department has different needs, and some positions will be designated in-office jobs, based on their function.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.