Senior Contract Attorney

This is a fully remote position, open to applicants in United States.

📋 Description

• Draft, review, and negotiate commercial agreements such as master services agreements, fee schedules, appendices, letters of intent, authorized participant agreements, selling agreements, side letters, amendments, addenda, and vendor agreements.

• Provide guidance to internal stakeholders regarding contractual risks, regulatory responsibilities, and commercial terms within registered fund and private fund service relationships.

• Offer legal advice on the Investment Company Act of 1940, the Investment Advisers Act of 1940, and relevant SEC rules and regulations.

• Assist in managing broker-dealer and investment advisory client relationships by reviewing FINRA and SEC regulatory requirements in relation to service agreements.

• Work collaboratively with compliance teams on AML, Regulation S-P, GDPR, DPL, CCPA, CPRA, and related regulatory obligations in client contracts and RFI responses.

• Coordinate with outside counsel on litigation and complex transactional issues, overseeing scope and costs.

• Collaborate with commercial, operations, and onboarding teams to ensure contract terms align with operational capabilities and service commitments.

• Oversee the contract lifecycle from initial negotiation through execution, which includes version control, filing of executed documents, and administrative close-out.

• Assist with M&A-related contract diligence and integration workstreams as required.

• Perform additional duties as needed and assigned.

⛳️ Requirements

• Juris Doctor (J.D.) degree from an accredited law school.

• Active bar admission in good standing in at least one U.S. jurisdiction.

• At least five years of experience in financial services contract drafting and negotiation.

• Working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933, including amendments.

• Proven experience in drafting and negotiating complex commercial agreements within a financial services framework, including fund administration, fund accounting, transfer agency, investment advisory, and/or broker-dealer relationships.

• Excellent written and verbal communication skills.

• Capable of effectively engaging with senior business leaders, institutional clients, and outside counsel.

• Ability to manage multiple concurrent matters with competing deadlines in a dynamic environment.

• Experience in mutual fund administration, broker-dealer, and registered investment adviser contexts.

• Familiarity with alternative investment funds, business development companies, 3(c)7 exempt ’34 Act registered funds, collective investment trusts, unit investment trusts, UCITS, and ETF structures and mechanics.

• Previous in-house experience at a fund administrator, transfer agent, or asset manager.

• Exposure to AML program requirements, Regulation S-P, GDPR, and related compliance frameworks.

• Experience in supporting M&A diligence or integration within a financial services setting.

• Ability to regularly sit and stand.

• Occasional lifting and/or moving of up to 10 lbs.

• Specific vision abilities are required.

• Equivalent education and experience will be considered.

🏝️ Benefits

• Occasional travel (approximately 10% or less) may be necessary.

• Reasonable accommodations may be provided to enable associates to perform essential functions.

• There is potential for work beyond the standard workday or workweek as business needs arise.