Vice President, Registered Funds Legal and Regulatory

Overview

Advise on formation, regulation, and governance of wealth-focused investment funds.

Key Responsibilities

• legal review
• regulatory filings
• fund formation
• governance support
• agreement drafting
• compliance guidance

Tasks

-Legal review and analysis of transactions being considered for potential investment, including co-investment transactions made in reliance on SEC exemptive relief. -Collaborate with business and other Legal and Regulatory colleagues with respect to global distribution matters. -Provide counsel regarding complex fund or feeder fund offerings, and direct and indirect private securities offerings. Assist leaders with product development of various investment structures across multiple jurisdictions. -Provide legal and regulatory advice regarding Wealth Vehicle modifications or enhancements as well as fund/vehicle mergers. -Oversee the ongoing day-to-day management of new and existing registered funds and other Wealth Vehicles. -Advise investment teams in collaboration with compliance professionals on US and non-US legal and regulatory issues, including those arising from trading or operational matters and those arising in connection with fund investments in co-investments and secondaries. -Manage regulatory filings (e.g., 8-Ks, 10-Q/Ks, Form 10s, N-2s, N-CSRs, and prospectus updates) and assisting with day-to-day oversight of legal matters. -Support fund governance matters, liaise with fund and independent trustee counsel, review, and present from time-to-time, board materials and provide guidance to business colleagues and senior management on board proposals. -Provide legal support for responses to regulatory inquiries. -Advise on and lead fund formation matters for registered and unregistered fund structures across multiple jurisdictions. These activities may include the design and launch of new registered funds, broadly offered private funds, collective investment trusts, and other types of investment vehicles. -Draft, review and negotiate material agreements for Wealth Vehicles.

Requirements

• j.d.
• ny bar
• 7+ years
• wealth vehicles
• alternative investments
• finra

What You Bring

-Experience with broker-dealer/FINRA matters is a plus, along with familiarity with ERISA matters, anti-money laundering (AML) regulations, data protection laws, and tax considerations related to alternative investments. -7+ years of experience at a registered investment adviser, private law firm, or within the asset management industry with a focus on Wealth Vehicles. Prior experience at a regulator is a plus. -Experience reviewing and interpreting statutes, rules and regulations, with knowledge of U.S. securities laws including Investment Advisers Act of 1940, Securities Act of 1933 (including Regulation D), the Securities Exchange Act of 1934, and/or the Investment Company Act of 1940. -Capable of adapting to changing needs of the organization. -Confidence and interpersonal and networking skills necessary for effective interaction with business clients at all levels and external parties. -Curiosity, versatility and willingness to learn new areas of the law. -Licensed to practice law and a member in good standing in the State of New York. -Ability to analyze complex and complicated legal issues quickly and provide real time legal advice. -Excellent critical thinking and organizational skills. -Understanding of international investment adviser regulation, offering regulations (both public offerings and private placements) and disclosure principles is desirable but not required. -Significant experience with Wealth Vehicles is desired, particularly 3(c)(7) funds intended for wealth investors, interval funds, tender offer funds, non-traded REITs and BDCs. -Basic understanding of corporate finance matters, including valuing private assets, mergers and acquisitions and leveraged finance, is desirable but not required. -Proven ability to work independently and efficiently and as a team player in a demanding, fast-paced, fluid environment handling multiple tasks and projects concurrently, while maintaining highest standards and attention to detail. Experience managing complex projects. -Excellent analytical, oral and written communication skills, particularly the ability to reduce sophisticated legal issues to straightforward, practical analysis and advice. -Experience with some or all of the following: alternative investments, co-investments, direct investments, and/or secondary transactions in private securities. -Juris Doctorate (J.D) from an accredited institution.

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About Brookfield

-The company manages a diversified portfolio across real estate, infrastructure, renewable power, and private equity. -Brookfield is known for its strategic investments in large-scale assets that drive long-term value. -Its diverse real estate portfolio spans office towers, residential complexes, retail spaces, and logistics hubs. -Notably, Brookfield has made substantial investments in renewable energy, including wind, solar, and hydroelectric projects. -The firm has built a reputation for its ability to manage complex, large-scale infrastructure projects worldwide. -Brookfield has been instrumental in major developments like the World Financial Center in New York and London's Canary Wharf. -The company is renowned for creating and managing sustainable, high-value assets across key sectors of the global economy. -Brookfield is also focused on growing its presence in emerging markets, capitalizing on growth opportunities in Asia and Latin America.

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