Senior Counsel

The Legal Center of Expertise in Korn Ferry (Professional Search Division) has exclusively partnered with our client, an investment management company, on a search for a Senior Counsel at its headquarters in Chicago. The Senior Counsel will support the General Counsel/VP and will collaborate with other members of the legal department on various corporate legal matters, primarily issues related to securities filings under the 1940 Act, preparation of materials for general corporate governance; and other legal matters effecting capital markets and other financial transactions.

The ideal candidate will have at least 5 years of general corporate legal experience working on corporate securities matters in the Corporate Group of a large national law firm (or a combination of 7+ years experience within an in-house setting and a national law firm).

In addition, the Candidate will:

• Coordinate corporate level legal filings and corporate records, including state filings and UCC filings.
• Negotiate and draft a wide variety of basic commercial contracts, including software and vendor agreements and NDAs.
• Provide support for capital markets activity 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.
• Assist with ongoing 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 investment products, including CLOs.
• 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 and new SEC rules, 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.

Candidates must have:

• At least 5 years’ experience with corporate transactional and/or finance work in a national law firm setting required.
• Knowledge of various securities laws and regulations, including the 1933 Act, 1934 Act, including disclosures and periodic filings.
• Public company experience preferred.
• 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.
• Experience using electronic Board portals a plus.
• JD from ABA accredited university and license to practice in at least 1 US jurisdiction

The company offers a competitive compensation package, sophisticated portfolio of corporate clientele, an inclusive culture and long-term career mobility with a collaborative in-house legal team. This is an excellent opportunity to join a small but steadily growing legal department within a financial services investment company with a proven track record of steady growth and revenue.

SE Number: 510592160