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Private Funds Securities Attorney
Refer job# IVOC168364
 
Private Funds Securities Attorney Duties: Analyzing SEC rule proposals and adoptions and regulatory guidance applicable to private funds and their registered investment advisers, advising our business clients on requirements and risks, and serving on project teams to implement such rule-makings. Assisting in preparing regulatory filings on behalf of the registered investment adviser to such private funds, including Form ADV and Form PF, and regulatory filings applicable to such private funds, including Form D. Providing 1933 Act and 1940 Act securities law advice in connection with private fund formation and post-formation support, as part of a multi-disciplinary legal team. Developing as applicable securities law materials for quarterly registered investment adviser Board meetings and speaking publicly at such meetings on relevant securities law topics. Supporting the registered investment adviser's committees (e.g., the proxy voting and brokerage and trading committees) by, among other things, advising on the appropriate committee structure, attending committee meetings and taking minutes. Onboarding sub-advisers for Northwestern Mutual's General Account and related institutional investment accounts, including preparing non-disclosure agreements and investment management agreements.

Qualifications: Must have an exemplary academic record and a Juris Doctorate degree; note that a license to practice law in the State of Wisconsin or a commitment to become licensed within the first year of employment is required. Must have 6 years of focused legal experience advising on the securities law aspects of private funds (e.g., private equity, private debt, private REITs and collateralized loan obligations) exempt under the Investment Company Act of 1940, their registered investment advisers under the Investment Advisers Act of 1940 and related regulations, such as registration exemptions under the Securities Act of 1933 and beneficial ownership reporting rules under the Securities Exchange Act of 1934, as well as preparing related regulatory filings. Experience with other securities, commodities and/or banking laws, including with respect to mutual funds, variable insurance products, derivatives, commodity pool operators, commodity trading advisors, registered broker-dealers, OCC regulated national banks, or U.S. Treasury international capital reporting is a plus. Experience with registered investment adviser Board governance with respect to private funds. Experience with negotiating and documenting sub-advisory agreements with other registered investment advisers. Must be able to analyze a variety of legal issues, synthesize complex information, and provide legal advice to business professionals throughout the enterprise.
 
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