Assistant General Counsel - Institutional Asset Management

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