Assistant General Counsel – Toronto

This Full time on site position offers great opportunities for career growth.

Responsibilities

• Structuring, forming, advising and providing ongoing support with respect to all aspects of private funds, including open-ended funds, closed-end funds and funds-of-one.
• Structuring, forming, advising and providing ongoing support with respect to all aspects of registered funds pursuant to National Instruments 81-106 and 81-102.
• Advising on the provision of investment advisory services to institutional, intermediary and private wealth managed account clients, including negotiating investment advisory agreements.
• Advising with respect to the structuring, development and distribution of products and investment vehicles in Canada and outside Canada.
• Supporting Ontario Securities Commission (OSC), U.S. Securities and Exchange Commission and U.S. National Futures Association-related regulatory and compliance matters.
• Supporting corporate governance matters, including support for bi-annual board meetings of the Board of Directors of Neuberger Berman Canada ULC.
• Negotiating agreements with service providers and counterparties.
• Reviewing requests for proposals (“RFPs”), client questionnaires and marketing materials.
• Working closely with the Legal and Compliance Department globally as well as other control functions.
• Supervising and working effectively with outside counsel.

Qualifications

• At least 6-10 years’ experience, including 5+ years with a large law firm.
• Extensive knowledge of Canadian National Instruments 31-103, 45-106, 81-102 and 81-106 and applicability of other regulatory frameworks to private funds, registered funds, separate accounts and regulatory and compliance matters.
• Knowledge of the U.S. Investment Advisers Act of 1940 and U.S. Commodity Exchange Act (and associated CFTC/NFA issues) preferred but not required.
• Strong organizational skills and ability to multi-task.
• Ability to communicate effectively with senior management and investment professionals.
• Efficient and resourceful, able to work independently, handle multiple and changing priorities, and meet deadlines.

Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

Compensation Details

The salary range for this role is $200,000-$260,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee’s pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs.

This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits to eligible employees.

Neuberger is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations.

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