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Equitable Legal Counsel – Registered Funds in New York, New York

Legal Counsel – Registered Funds ( 230000M2 )

Primary Location : UNITED STATES-NY-New York

Organization : Equitable

Schedule : Full-time


At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

The Equitable Law Department’s Mission is to Serve as Equitable’s trusted counsel e mpowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships, and delivering creative solutions.

At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Law Department and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is based in our New York, NY office.

As a Legal Counsel – Registered Funds within the Equitable Investment Management Legal team, this position’s responsibilities include, but are not limited to:

  • Providing advice and guidance on legal and regulatory matters relating to the firm’s retail and annuity-dedicated mutual funds; assisting with fund board and committee meetings, including drafting and presenting proposals and reports to the board; preparing and/or reviewing regulatory filings, including registration statements on Form N-1A and proxy statements on Form N-14; and drafting compliance policies and procedures in response to new rules adopted by the SEC.

  • Advising on the development of new funds and other investment products and initiatives.

  • Handling legal and regulatory matters relating to the firm’s registration and activities as an investment adviser and commodity pool operator; provide support on brokerage committee matters.

  • Negotiating relevant agreements, including sub-advisory agreements and agreements with adviser and fund service providers and vendors.

  • Interfacing with a wide range of stakeholders, including investment teams, compliance, fund administration, insurance product group, marketing, and operations, in providing general legal advice relating to the funds and other investment products.

The base salary range for this position is $200,000 to 220,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits : Equitable Total Rewards Program (https://portal.equitable.com/appentry/EDoxRedirect?node_id=A2023013000001)


Required Qualifications:

  • Juris Doctorate degree.

  • 3 or more years of relevant law firm or in-house experience.

  • Expertise in the Investment Company Act of 1940 and Investment Advisers Act of 1940.

  • Experience with marketing and advertising rules for mutual funds and investment advisers.

  • Ability and desire to take on multiple clients and effectively prioritize projects and assignments for each client


Managing Multiple Priorities : Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

Effective Communications : Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

Accuracy and Attention to Detai l: Understand the necessity and value of accuracy; ability to complete tasks with high levels of precision.

Self-Starter and Team Collaboration : Must possess leadership skills and can successfully work alone and to maintain a team player attitude. Candidate should be able to work independently on a multitude of projects and ensure that both internal and external deadlines are met.

Creative and Innovative Thinking : Think creatively and innovatively, embracing innovative methods to demonstrate a point to keep the learner engaged.

Active Listening : Apart from being a strong communicator, practicing active listening to make people feel comfortable to ask questions and provide their point of view as part of the training.

Diversity, Equity, and Inclusion : Demonstrates a commitment to Diversity, Equity, and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.


At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com .


Req ID: 230000M2