- Serve as strategic legal advisor to the Principal/Founder on legal and regulatory matters including securities laws, fund structuring, and corporate governance.
- Oversee regulatory compliance including the Investment Advisers Act of 1940, Investment Company Act of 1940, and SEC/FINRA/NFA regulations.
- Lead fund formation and negotiate formation documents such as LPAs, LLC Agreements, PPMs, and Subscription Agreements.
- Manage investor documentation, side letter negotiations, and customized investment terms for institutional and HNW investors.
- Advise on investment transactions and complex deal structuring across multiple jurisdictions.
- Manage relationships with outside counsel and legal budgets for tax, ERISA, and international regulatory matters.
- Establish corporate governance frameworks and conflict of interest policies.
- Support litigation, regulatory examinations, and investigation responses.