Job description

Our employees are our most valuable asset.

Job Description

The VP, Senior Counsel – Registered Funds is responsible for providing legal advice and subject matter expertise related to registered investment products including exchange traded funds (“ETFs”) and open-end and closed-end mutual funds, and also provides support to other investment products as well. The VP, Senior Counsel – Registered Funds is also responsible for preparing and reviewing related regulatory filings and documentation and partnering closely with product, compliance, distribution, marketing, fund administration, and transfer agency business units to facilitate the launch of new investment products and related operational issues.

Duties and Key Responsibilities

• Primary responsibility for legal advice and guidance related to Virtus’ registered investment products with a particular focus on exchange traded funds and closed-end mutual funds.
• Provide ongoing legal advice to senior management and product, distribution, marketing, investment operations, and compliance teams for new or existing suite of investment products and services.
• Draft, review and negotiate investment management, administration, distribution, and other fund-related agreements and offering materials and other documentation/filings associated with investment products, including proxy statements, registration statements, prospectuses, SAIs, shareholder and other recurring regulatory reports, and regulatory filings.
• Draft, review and negotiate various agreements, including trading, administration and custody agreements, side letters, NDAs, intermediary agreements, vendor contracts, and other third-party commercial agreements as needed.
• Oversee and participate in the preparation of board materials, including presentations, Section 15(c) materials, proposed resolutions, and minutes; attend and present at board meetings; provide legal guidance to fund board as needed regarding regulatory or governance matters.
• Assist with M&A activity, fund adoptions, re-organizations as well as due diligence efforts.
• Participation on and support of various internal operating committees, including valuation, brokerage, product, and implementation of new regulatory requirements.
• Supervise paralegal staff and outside counsel in managing legal work to manage ongoing workload and meet legal, regulatory, or management deadlines.

• Provide legal guidance and coordinate responses to regulatory requests, inquiries, and examinations by state and federal regulators.
• Partner with the broader legal and compliance team to share information about regulatory developments impacting the industry.
• Special projects as assigned.

Qualifications

• Candidate must have a J.D., be admitted to at least one state bar, and have 15+ years of major law firm experience or relevant in-house or regulator experience in the investment advisory/asset management/broker-dealer business.

• Thorough knowledge of relevant securities laws and regulations, including the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, the Investment Company Act of 1940, and related SEC exemptions, rules, and regulations.
• Experience with ETFs required.
• Familiarity with NFA/CFTA and FINRA rules preferred.
• General understanding of privacy, information security, and related requirements in the financial services industry a plus.
• Highly disciplined self-starter, able to make decisions and work with limited supervision managing a challenging workflow while excelling in a fast-paced, dynamic, and demanding environment.
• Ability to prioritize and perform multiple tasks and deal with interruptions while working within strict deadlines.
• Excellent oral and written communications skills and ability to interact with senior business leaders and investment professionals; must be able to communicate complex concepts clearly, simply, and present clear choices, and to write effectively, and present research, analysis, and conclusions in a persuasive manner.
• Inquisitive, engaged, and proactive in identifying legal issues and risks and proposing creative and effective solutions.
• Able to anticipate and mitigate friction points and take the initiative to promptly resolve and learn from challenges.
• Strong interpersonal and influencing skills.
• Willingness and ability to travel to Hartford on a regular and/or as-needed basis.
• Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in Virtus systems as required to perform the duties of this position.
• Regular and reliable attendance.

This position may reside in our NYC, Hartford, Chicago, or Atlanta locations or may be remote depending upon the ideal candidate's background.

The salary range is $200,000 to $260,000.
The starting salary offer will vary based on the applicant’s education, experience, skills, abilities, geographic location, internal equity, and alignment with market data.

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Job Type: Full-time

Pay: $200,000.00 - $260,000.00 per year

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