The Senior Associate’s primary day-to-day responsibilities will include the preparation of fund registration materials and related filings and documentation, and support for various fund governance matters, including board preparation and meeting. 

The focus will be on alternative investment products, including unlisted closed-end funds, non-traded business development companies and non-traded real estate investment trusts. Mentoring and training will be provided, if needed. 

Compensation and Benefits: 

• $200K base salary plus bonus 

• Robust and competitive benefits package, including comprehensive health and dental plans, 401(k) employer match and profit-sharing 

• Relocation candidates will be considered; relocation stipend will be provided 

• Commutable from New York City (NYC) via Metro North; 5-minute walk from train station 

• Hybrid work schedule 

Responsibilities: 

• Support the Wealth Management arm of the business on all aspects of day-to-day fund, investment management and broker-dealer legal and regulatory compliance matters, including: the preparation, review, filing and maintenance of registration statements and related materials relating to Wealth’s funds and other securities offerings 

• Preparation and review of investment management agreements and related documents including fund compliance policies and procedures - Fund and investment management distribution arrangements 

• Preparation and assistance on fund board related matters 

• General business contracts preparation and review 

The ideal candidate will have: 

• Juris Doctor (J.D.) from an accredited college or university 

• Admitted to any state bar association 

• Minimum of 3-6 years of legal experience in asset management; working at a law firm and or in-house, representing registered investment funds (mutual funds, ETFs, open-ended funds) 

• Broker-dealer experience is a plus 

• Closed end funds experience is a plus 

• Strong product and relevant securities laws knowledge: registered traditional funds experience (open-end funds, ETF’s, separately managed accounts 

• Strong analytical and problem-solving skills 

• Pro-active team player with strong work ethic, collaborative attitude, and professional demeanor 

• Ability to work in a fast-paced environment 

Title: Senior Associate, Counsel Attorney

Location: Fairfield County, CT 06880/Hybrid (3 days in office) 

Commutable from New York City (NYC); 5-minute walk from Metro North station 

Client Industry: Financial Services 

Posting: 510648420 

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Korn Ferry shall provide equal employment opportunity to all qualified candidates, and will refer candidates without regard to race, color, religion, national origin, sex, age, disability, veteran status or any other legally protected basis.