Description:
As an Associate Attorney, you will provide broad legal support across corporate, compliance, securities, and regulatory matters. Reporting to the General Counsel, you will play a critical part in ensuring the Company's legal interests are protected while enabling growth. You'll wear many hats—drafting and reviewing contracts, managing entity governance, assisting with regulatory filings, and advising leadership on compliance and risk.Key Responsibilities:
Board & Committee Support
- Prepare, maintain, and organize board and committee meeting calendars, agendas, attendance invitations and tracking, resolutions, minutes, and other governance documents.
- Coordinate the scheduling and logistics of board and committee meetings, including materials distribution in a timely manner and secure document management.
- Draft and review standard governance forms, resolutions, and consents.
- Maintain a governance calendar to ensure key deadlines (e.g., annual meetings, regulatory filings) are met.
- Support legal team with document management and version control using company platforms and tools.
- Accurately take, draft, and finalize board and committee meeting minutes.
- Track and follow-up on action items from board and committee meetings.
- Maintain and oversee corporate records for portfolio investments, including governance records, and organizational documents.
- Assist with board and shareholder resolutions, minutes and filings.
- Monitor proper filing of annual reports, business licenses, and other regulatory filings.
- Support preparation and submission of regulatory filings (state, federal, and industry-specific) for the firm's RIA.
- Monitor evolving laws and regulations relevant to the company's operations and advise on compliance strategies.
- Assist in developing internal policies and procedures.
- Assist in the drafting, review, and negotiation of a variety of commercial contracts (e.g., NDAs, vendor agreements, service agreements, engagement letters) for various portfolio entities under the supervision of the General Counsel.
- Maintain and organize contract databases and ensure proper record-keeping for all executed agreements.
- Track key contract dates (e.g., renewals, expirations, notice periods) and assist with contract lifecycle management.
- Develop and implement efficient processes for contract review, approval, and execution.
- Provide legal support for fund formation, including entity structuring, regulatory filings, and compliance with SEC, FINRA, and other applicable regulations.
- Conduct legal research as needed on various corporate, securities, and regulatory matters.
- Assist with the preparation of legal memoranda, presentations, and reports.
- Manage and organize legal department files and databases for investment teams.
- Coordinate with outside counsel as directed by the General Counsel.
- Undertake special projects and other duties as assigned by the General Counsel.
Qualifications:
- J.D. from an accredited law school, licensed and in good standing with the Connecticut Bar (or ability as in-house counsel in Connecticut).
- 3+ years of experience practicing law with a focus on governance, compliance or entity management within a private equity / investment management company.
- Strong understanding of corporate governance principles, legal entity structures, and regulatory filing requirements for companies operating under the 40 Act.
- Familiarity with document management systems and compliance tracking tools.
- Exceptional organizational and project management skills with high attention to detail.
- High level of discretion, professionalism, integrity and sound judgement in handling confidential information.
- Proficiency in Microsoft Office Suite and legal research tools.
- Ability to work independently, prioritize tasks and meet deadlines.
- Calm under pressure and adaptable to changing priorities.
- Proactive, resourceful, and solutions oriented.
- Exceptional interpersonal skills across a variety of communications styles, and a positive, can-do attitude.
- Experience working with family offices or supporting family-owned businesses.
- Calm under pressure and adaptable to changing priorities.
- Proactive, resourceful, and solutions oriented.
- Exceptional interpersonal skills across a variety of communications styles, and a positive, can-do attitude.
- Experience working with family offices or supporting family-owned businesses.
