Advise on the distribution of mutual funds, ETFs, and other registered products, including compliance with the Investment Company Act of 1940 and related SEC rules (e.g., Rule 12b‑1, Rule 22c‑1, Regulation Best Interest).
Provide legal support for the distribution of private funds, including private placements under Regulation D, Regulation S, and related state blue sky requirements.
Draft, review, and negotiate distribution‑related agreements, including selling agreements, dealer agreements, sub‑advisory arrangements, placement agent agreements, and intermediary contracts.
Advise on marketing and advertising materials for registered and private funds, including compliance with SEC advertising and marketing rules.
Counsel business partners on broker‑dealer, investment adviser, and intermediary regulatory issues.
Monitor regulatory developments impacting fund distribution and provide proactive guidance to business and compliance teams.
Collaborate closely with compliance, operations, product, and sales teams to facilitate compliant product launches and initiatives.

4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Active State Bar membership or the equivalent in a country outside the United States
Deep understanding Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules
Prior in‑house experience at an asset manager, fund sponsor, or financial services firm.
Experience with ETFs, interval funds, or alternative investment products.
Experience supporting both broker-dealer and bank distribution channels.
Demonstrated flexibility to adapt to dynamic scope of role to support changing business and Legal department priorities.

Senior Counsel – Mutual & Private Fund Distribution, Wealth & Investment Management

Key skills