Taylor Root Dusseldorf
Vice President – Investment Product Counsel
Taylor Root Dusseldorf, New York, New York, us, 10261
Vice President – Investment Product Counsel, 34 Act
Location:
Hybrid – New York, NY or Greenwich, CT A leading global financial services firm is seeking an experienced attorney to join its legal team as
Vice President – Investment Product Counsel . This role offers the opportunity to work on a diverse range of investment products and regulatory matters in a fast-paced, collaborative environment that values strategic thinking and practical legal solutions. Responsibilities: Provide legal support for registered and private investment products, including those subject to the Securities Exchange Act of 1934 Draft, review, and negotiate a variety of agreements, such as: – Service provider and vendor contracts – Distribution and marketing agreements – Investment product documentation Advise on compliance with the 1934 Act and assist with related filings, including: – Form 10, Form 10-Q, Form 10-K, and Form 8-K Support product development, investor relations, and marketing initiatives from a legal perspective Coordinate with external counsel on regulatory, corporate, and transactional matters Review materials for SEC and FINRA compliance Conduct legal research and provide guidance on emerging issues impacting investment products Experience: J.D. from an accredited law school and admission to a U.S. state bar in good standing Minimum 5 years of legal experience with a strong focus on the 1934 Act Experience with the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940 is a plus Prior experience in a law firm or in-house at an asset management or financial services firm preferred Strong ability to negotiate complex agreements and communicate effectively with business teams Organized, detail-oriented, and capable of managing multiple priorities in a fast-paced environment Business-minded with a practical, solutions-oriented approach to legal issues We are an equal opportunities employer and welcome applications from all qualified candidates.
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Hybrid – New York, NY or Greenwich, CT A leading global financial services firm is seeking an experienced attorney to join its legal team as
Vice President – Investment Product Counsel . This role offers the opportunity to work on a diverse range of investment products and regulatory matters in a fast-paced, collaborative environment that values strategic thinking and practical legal solutions. Responsibilities: Provide legal support for registered and private investment products, including those subject to the Securities Exchange Act of 1934 Draft, review, and negotiate a variety of agreements, such as: – Service provider and vendor contracts – Distribution and marketing agreements – Investment product documentation Advise on compliance with the 1934 Act and assist with related filings, including: – Form 10, Form 10-Q, Form 10-K, and Form 8-K Support product development, investor relations, and marketing initiatives from a legal perspective Coordinate with external counsel on regulatory, corporate, and transactional matters Review materials for SEC and FINRA compliance Conduct legal research and provide guidance on emerging issues impacting investment products Experience: J.D. from an accredited law school and admission to a U.S. state bar in good standing Minimum 5 years of legal experience with a strong focus on the 1934 Act Experience with the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940 is a plus Prior experience in a law firm or in-house at an asset management or financial services firm preferred Strong ability to negotiate complex agreements and communicate effectively with business teams Organized, detail-oriented, and capable of managing multiple priorities in a fast-paced environment Business-minded with a practical, solutions-oriented approach to legal issues We are an equal opportunities employer and welcome applications from all qualified candidates.
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