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Capital Markets Counsel

New York, NY

Capital Markets Counsel

Position Overview:

Our client is a premier financial services firm offering wealth management, asset management and strategic advisory services to ultra-high-net-worth individuals, families, institutions and corporations.  This position will report directly to the Chief Counsel for Corporate entity.

The Capital Markets Counsel is responsible for overseeing all legal and compliance aspects of the firm’s rapidly expanding capital markets, private placement, financial products, and merchant banking activities. The Capital Markets Counsel will partner with internal clients and decisionmakers to support the business in achieving its strategic objectives, while managing enterprise risk and providing transactional support and compliance oversight.


  • Provides comprehensive transactional and regulatory legal support to the internal Investment Products & Solutions and Capital Markets teams; serves as the primary liaison with relevant outside counsel
  • Oversees and provides legal support from inception through closing on all capital markets transactions, including new issues, secondary offerings, and private placement transactions
  • Oversees and provides legal support from inception through closing on all derivative transactions
  • Prepares, reviews, and coordinates transaction documents, including prospectuses, placement agreements, subscription agreements, purchase agreements, and regulatory filings
  • Oversees the formation of Special Purpose Vehicles in connection with direct investment opportunities and prepares and reviews the relevant formation and operating documents
  • Oversees the formation of Hedge Fund, Private Equity and Venture Capital investment vehicles and prepares and reviews the relevant formation and operating documents
  • Ensures compliance with applicable securities laws and regulations
  • Provides general corporate legal support to the dynamic and growing business units 


  • Minimum of 10 years of capital markets legal experience
  • Prior experience at either a top law firm or in-house at a financial institution required (prior experience in both settings preferred)
  • Prior experience directly counseling clients, particularly senior executives, a plus
  • Prior experience with merchant banking activities and hands on experience with hedge funds, private equity and venture capital investment vehicles
  • Prior responsibility for transaction management from inception through closing
  • Familiarity with private placements and Special Purpose Vehicles
  • Strong working knowledge of securities laws and regulations
  • J.D. from an accredited law school and a member in good standing with a State bar


  • Outstanding written and verbal communication skills
  • Able to interface effectively with, and provide practical counsel to, cross-functional stakeholders, including senior executives, business team members at all levels of the organization, and fellow members of the Legal & Compliance team
  • Highly independent and decisive; able and eager to be the leading enterprise voice on capital markets transactional and regulatory issues and financial products issues
  • Adaptable; able and eager to operate in a dynamic environment; enjoys tackling emerging issues
  • Able and eager to learn about, and assist with, general corporate legal issues, beyond capital markets law
  • Interested in building something “from the ground up”; likes to roll up sleeves and dig in
  • Natural leader; good listener and problem solver
  • Detail-oriented and able to manage multiple complex and time-sensitive projects simultaneously