Assistant General Counsel - Mutual Funds
Assistant General Counsel - Mutual Funds
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
$ 180000 - 220000
1 Vacancy
Job Description
Neuberger Berman is seeking a lawyer experienced in the Investment Company Act of 1940 to join its New Yorkbased Legal and Compliance Team. This position will be providing legal advice and support on Neuberger Bermans U.S. registered fund business including mutual funds exchangetraded funds and closedend funds. The lawyer will also provide support to our intermediary distribution efforts. This position will report to the General Counsel U.S. Registered Funds. This is an exceptional opportunity for a wellrounded investment management attorney who enjoys working on many different sophisticated matters wants substantial business team and client contact and is a team player.
Responsibilities:
Providing ongoing advice with respect to structuring and maintaining registered investment vehicles including the preparation and ongoing review of registration statements
Advising a variety of internal business clients including portfolio managers marketing and sales personnel on a variety of legal and regulatory matters associated with current and proposed business and operational initiatives
Ensuring productive relationships with regulators and internal and external clients and boards of trustees/directors by demonstrating superior responsiveness and client service
Preparing materials for boards of trustees/directors on a variety of routine and ad hoc legal and compliance matters
Drafting and negotiating various contracts including: (i) investment management agreements; (ii) intermediary distribution and servicing agreements; (iii) nondisclosure agreements; and (iv) agreements with various service providers
Keeping abreast of new regulatory developments and acting as a liaison in implementation of rules and regulations
Reviewing marketing materials and other client communications including client information requests and requests for proposals
Adjusting job responsibilities to accommodate changing priorities while managing multiple requirements and timelines
Requirements:
Bachelors degree and JD required
Member of New York state bar (or the ability to waive in)
At least 4 years of experience working with U.S. registered funds and the Investment Company Act of 1940 at a major U.S. law firm or with an inhouse legal department
Experience working with boards of trustees/directors of U.S. registered products strongly preferred
Experience working on intermediary relationships for U.S. registered products a plus
Capable of working independently but with ability to recognize when to seek guidance in complex situations
Proactive approach with the ability to engage with and communicate effectively with senior management
#LIHybrid
#LIMB1
Compensation Details
The salary range for this role is $180000$220000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employees pay position within the salary range will be based on several factors including but limited to relevant education qualifications certifications experience skills seniority geographic location business sector performance shift travel requirements sales or revenuebased metrics market benchmarking data any collective bargaining agreements and business or organizational needs. This job is also eligible for a discretionary bonus which along with base salary and retirement contributions is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off medical/dental/vision insurance 401(k) life insurance and other benefits to eligible employees.Note: No amount of pay is considered to be wages or compensation until such amount is earned vested and determinable. The amount and availability of any bonus commission production or any other form of compensation that are allocable to a particular employee remains in the Companys sole discretion unless and until paid and may be modified at the Companys sole discretion consistent with the law.
Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race creed national origin religion age color sex marital status sexual orientation gender identity disability citizenship status or protected veteran status or any other characteristic protected by local state or federal laws rules or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process please contact .
Learn about the Applicant Privacy Notice.
Employment Type
Full-Time
