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Assistant General Counsel (Wheaton)
Assistant General Counsel (Wheaton)Talently • Wheaton, IL, United States
Assistant General Counsel (Wheaton)

Assistant General Counsel (Wheaton)

Talently • Wheaton, IL, United States
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  • [job_card.full_time]
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Job Title : Assistant General Counsel

Location : Wheaton, IL (Onsite)

Compensation : $150K-240K+Bonus DOE

Skills : Corporate Experience related to either Securities (33 Act, public offerings), or M&As, Private Equity, Private Fund Offerings, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance, Alternative Investments.

We are a trusted Financial Services company that needs an exceptional Assistant General Counsel to join our elite legal team. If you have 5+ years of corporate experience and a passion for Securities Law, then this may be a perfect fit for you!

In this role, you will :

  • Ensure compliance with applicable securities laws and regulations governing funds, such as the Investment Company Act of 1940.
  • Help manage a core group of funds and assist in the creation and registration of funds.
  • Review registration statements and annual shareholder reports.
  • Attend board meetings and review board materials, and ensure adherence to internal policies and regulatory requirements.
  • Identify and manage risks associated with fund operations and conduct due diligence for potential investments, ensuring that funds are in compliance with legal and regulatory requirements.
  • Conduct legal due diligence for corporate transactions, mergers, acquisitions, and other strategic initiatives.
  • Perform tasks assigned by Senior Corporate Counsel.
  • Oversee alternative investment private offering platform processes for offering private funds (Reg D, 506(c)).
  • Ensure suitability analysis and Reg BI compliance for investors.
  • Provide compliance oversight for non-traded REITs, DSTs, tender / interval funds and co-investment vehicles.
  • Review PPMs, fund offering documents, and marketing materials for compliance with SEC / FINRA rules.

Must Have Skills :

  • 5+ years of Corporate Experience in either Securities, Financial Services, or broker-dealer or securities compliance with emphasis on private funds.

    • Nice to Have Skills :

  • Compliance Experience is a major plus!
  • FINRA licenses : Series 24 (Series 7 / 63 / 66 strongly preferred).
  • Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority)
  • Private Equity Experience is a plus!
  • Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds.
  • Strong knowledge of Reg D, FINRA Rules 2111 / 2210 / 5122-5123, and Reg BI.

    • What's In It for You :

  • $150K-240K+ Bonus
  • Health Benefits
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