Vice President, Registered Funds Legal and Regulatory Team

Location

Brookfield Place New York - 225 Liberty Street, Suite 3501

Business - Public Securities

Brookfield’s Public Securities Group serves institutions and individuals seeking the investment advantages of real assets through actively managed listed equity and debt strategies. The Public Securities Group leverages Brookfield’s core real asset expertise across real estate, infrastructure, real asset debt, real asset solutions and opportunistic strategies through a variety of flexible and scalable investment mandates, including separate accounts, registered funds and private funds. Clients include financial institutions, public and private pension plans, insurance companies, endowments and foundations, sovereign wealth funds and high net worth investors. The Public Securities Group has been investing in public securities for over 30 years and has over $28 billion of assets under management. For more information, visit https://publicsecurities.brookfield.com.

Brookfield Culture

Brookfield has a unique and dynamic culture.  We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader:  Entrepreneurial, Collaborative and Disciplined.  Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.

Job Description

The Firm is seeking to add a resource to support its [Registered Funds Legal and Regulatory Team] in its New York office. The Team offers specialized expertise in legal and compliance matters related to funds registered under various regulatory regimes around the world, as well as certain unregistered funds oriented towards the wealth market (collectively, “Wealth Vehicles”).  The Team engages with multiple registered investment advisers and other business units across the broader Brookfield organization in support of Brookfield’s efforts to drive its penetration of the wealth marketplace. This candidate will provide counsel on a wide range of legal and regulatory matters impacting Brookfield’s Wealth Vehicles. Such matters will include, among others, advising on applicable regulation and exemptive relief; preparing, reviewing and presenting of board materials; drafting and maintaining relevant disclosures; managing corporate governance items specifically related to portfolio management transactions; and structuring, launching and advising on the distribution of pooled vehicles globally and in the US that focus on alternative investment strategies, including infrastructure, real estate, private credit and private equity.  The candidate will be a key member of the [Registered Funds Legal and Regulatory team] and will regularly interact with investment, distribution, finance, fund accounting, client service and operations professionals, as well as senior management, across Brookfield. The individual assuming this role should have deep familiarity with legal and regulatory matters associated with the management of registered funds and other pooled vehicles, and support for the various independent boards or other governance or oversight bodies thereof, be organized and self-motivated to be able to run independently with projects. 

Key Responsibilities

• Advise on and drive to completion fund formation matters in support of product development of varied investment structures across multiple jurisdictions.

• Support fund governance matters, liaise with fund and independent trustee counsel, review, and present from time-to-time, board materials and provide guidance to business colleagues and senior management on board proposals.

• Review and maintain the disclosures included in prospectuses and other offering documents of Brookfield’s Wealth Vehicles, including UCITS and 1940 Act funds, among others, as well as other filings and disclosures required by applicable regulatory regimes. 

• Provide legal and regulatory advice regarding structuring, distribution and development of new products and investment vehicles both within and outside of the US; work on fund/vehicle mergers and product modifications.

• Advise investment teams in collaboration with compliance professionals on US and