Senior Legal Specialist

Overview

• The Senior Legal Specialist will drive legal and compliance initiatives within a leading investment management firm.
• Collaborate with internal teams and external counsel to ensure regulatory adherence and support corporate transactions.
• Draft and review critical legal documents, including fund supplements, contracts, and registration statements.
• Manage onboarding processes for new clients and oversee compliance documentation for existing accounts.
• Coordinate regulatory filings and ensure compliance across domestic and international operations.
• Identify and implement process improvements leveraging advanced legal technologies and tools.
• Engage with investment teams to review NDAs and investment-related documentation.
• Support strategic initiatives and board meeting preparations with detailed legal insights.

Key Responsibilities & Duties

• Draft and review offering documents and disclosure materials for mutual and private funds.
• Coordinate regulatory filings and manage compliance documentation for trading counterparties.
• Provide legal support for mergers, acquisitions, and corporate transactions.
• Assist with Know-Your-Customer (KYC) requests and regulatory inquiries.
• Prepare comprehensive materials for board meetings and strategic corporate initiatives.
• Collaborate with private equity sponsors on ownership structures and related matters.
• Support investment teams in reviewing contracts and vendor agreements.
• Implement process improvements using AI and other advanced technologies.

Job Requirements

• Bachelor’s degree in a relevant field with 8+ years of legal or financial services experience.
• Proficiency in drafting and reviewing legal documents and disclosure materials.
• Exceptional verbal and written communication skills with expert-level proofreading abilities.
• Proven ability to work independently and collaboratively in a team environment.
• Experience managing multiple tasks and projects with high attention to detail.
• Knowledge of regulatory compliance and corporate governance practices.
• A solution-oriented mindset with a focus on process improvement.
• Familiarity with AI tools for legal process optimization is a plus.