Engine No. 1 is seeking a highly ethical, teamwork driven legal professional to provide value to the Legal and Compliance Division of Engine No. 1. The successful candidate will enjoy working in an open and transparent environment in which diverse experience, skill sets and individuals can team together to drive optimal outcomes while supporting, respecting and cooperating among all. In addition, they will contribute to an environment of teamwork, having fun and being around people who are proud of what they do and are trying to achieve.
The Associate General Counsel will be involved in the following critical activities:
- Provide ongoing advice with respect to structuring and enhancing exchange trade funds (ETFs) and unregistered investment vehicles, including reviews of registration statements and preparation of offering documents
- Support business development, client solutions, marketing, operations and other teams with regulatory, structuring and legal document review as it relates to new business products, services and relationships
- Draft, review and advise on new and existing commercial contracts including NDAs, employment agreements, counterparty and vendor contacts, engagement letters, etc.
- Monitor areas of regulatory focus, industry developments and best practices and manage compliance with new requirements
- As part of SEC, FINRA, and CFTC regulatory, help manage regulatory audits and exams and spearhead filing requirements and regulatory disclosures
- Engage and support compliance efforts across the firm
- Engage with portfolio companies in respect of portfolio company governance and compliance with firm procedures
- Help overseeing corporate governance practices and procedures
- Maintain solid knowledge of firm’s operations and relevant activities
Education, Skill And Experience Requirements
- J.D. with a minimum of 8 years of legal and compliance experience from a top tier law firm, the SEC, and/or as an in-house attorney with a registered investment adviser or asset management firm with a focus on investment management issues
- Broad knowledge of federal securities laws and regulations, including the Securities Act of 1933, the Investment Advisers Act, the Investment Company Act, and rules and regulations applicable to ETFs and private funds
- Ability to work in an entrepreneurial, fast paced environment and provide leadership and counsel as the firm continues to scale
- Excellent problem solving and communication skills with the ability to deliver clear recommendations in support of the firm’s business objectives
- Ability to think through complex regulatory issues and translate legal language into easily understandable summaries
- Excellent judgment, particularly as it relates to managing and mitigating business risks
- Possessing unquestionable ethics and personal integrity
- San Francisco or New York
Engine No. 1 is an Equal Opportunity Employer.