Assistant General Counsel

Job Title: Assistant General CounselLocation: Wheaton, IL (Onsite)Compensation: $150K-240K+Bonus DOESkills: Corporate Experience related to either Securities (33 Act, public offerings), or M&As, Private Equity, Private Fund Offerings, FINRA, Broker Dealer, Fund Compliance, Investor Advisor compliance, Alternative Investments.We are a trusted Financial Services company that needs an exceptional Assistant General Counsel to join our elite legal team. If you have 5+ years of corporate experience and a passion for Securities Law, then this may be a perfect fit for you!In this role, you will: Ensure compliance with applicable securities laws and regulations governing funds, such as the Investment Company Act of 1940.Help manage a core group of funds and assist in the creation and registration of funds.Review registration statements and annual shareholder reports.Attend board meetings and review board materials, and ensure adherence to internal policies and regulatory requirements.Identify and manage risks associated with fund operations and conduct due diligence for potential investments, ensuring that funds are in compliance with legal and regulatory requirements.Conduct legal due diligence for corporate transactions, mergers, acquisitions, and other strategic initiatives.Perform tasks assigned by Senior Corporate Counsel.Oversee alternative investment private offering platform processes for offering private funds (Reg D, 506(c)).Ensure suitability analysis and Reg BI compliance for investors.Provide compliance oversight for non-traded REITs, DSTs, tender/interval funds and co-investment vehicles.Review PPMs, fund offering documents, and marketing materials for compliance with SEC/FINRA rules.Must Have Skills:5+ years of Corporate Experience in either Securities, Financial Services, or broker-dealer or securities compliance with emphasis on private funds.Nice to Have Skills: Compliance Experience is a major plus!FINRA licenses: Series 24 (Series 7/63/66 strongly preferred).Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority)Private Equity Experience is a plus!Experience with non-traded REITs, DSTs, private offerings and investments, and closed-end funds.Strong knowledge of Reg D, FINRA Rules 2111/2210/5122-5123, and Reg BI.What's In It for You: $150K-240K+ BonusHealth Benefits