Assistant General Counsel Job at Talently, Wheaton, IL

MFlremt2VEZSSGRpWDNVWmVlUEdqQWUwN2c9PQ==
  • Talently
  • Wheaton, IL

Job Description

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

Job Tags

Similar Jobs

Robert Half

Office Manager Job at Robert Half

 ...Office Manager (with Light Accounting Responsibilities) Position Overview: The Office Manager plays a key role in ensuring the smooth...  ...exceptions to the District Manager. Maintain office petty cash and check register. Collaborate with HR on new hires and terminations... 

Securitas Security Services USA, Inc.

Security Program Manager Job at Securitas Security Services USA, Inc.

 ...Securitas Security Services USA, Inc. is the global leader in protective services, delivering...  ...solutions, and comprehensive risk management to clients across a wide range of industries...  ...for ensuring the highest standards of physical security and compliance, while supporting... 

Metric Geo

Director of Land - Homebuilding Job at Metric Geo

Director of Land Austin, TX A rapidly growing private homebuilder in the Austin area is seeking a Director of Land Acquisition & Entitlements to lead land strategy and execution for new residential communities. This is a high-impact role for an experienced professional...

Fourth Floor

Graphic Designer - Kids/Baby Job at Fourth Floor

 ...Our client, an apparel and accessories company, is looking for a Graphic Designer to join their kids team in New Jersey! Responsibilities Create and develop CAD artwork and graphics for baby, kids, and girls apparel and accessories, with a focus on sleepwear and... 

BHE GT&S

Gas Controller I/Gas Controller II/Sr. Gas Controller Job at BHE GT&S

BHE GT&S JOB DESCRIPTION BHE GT&S has an exciting opportunity as a Gas Controller I/Gas Controller II or Senior Gas Controller at our Greystone location in Columbia SC. RESPONSIBILITIES Operates natural gas pipeline system to maintain a reliable energy supply...