What are the responsibilities and job description for the General Counsel position at Smith Arnold Partners?
We are seeking an in-house General Counsel to lead the firm’s legal and compliance function and serve as a trusted advisor to senior leadership as the platform continues to scale.
The general counsel will have primary responsibility for all legal, regulatory, and governance matters for the adviser and related investment vehicles. This role requires a business-oriented legal executive with deep experience in investment management and mortgage finance who can balance regulatory rigor with practical commercial judgment.
Our client offers:
- Comprehensive healthcare coverage with the majority of costs covered
- Competitive 401(k) plan
- Collaborative, professional working environment with direct access to senior leadership and meaningful involvement in firm strategy
Title: General Closing Counsel
Location: Stamford, CT
Potential Compensation: $175,000 -$250,000 Bonus
The General Counsel will work closely with the Managing Partners, senior leadership, and external advisors, and will play a central role in fund formation, regulatory compliance, transactional matters,
- Lead all legal, regulatory, and compliance functions for the SECregistered investment adviser
- Serve as a strategic legal advisor to the Managing Partners and senior leadership
- Oversee compliance with the Investment Advisers, including SEC examinations and filings
- Provide legal oversight for the acquisition, financing, securitization, and disposition of residential whole loans and REO assets.
- Advise on mortgage origination, servicing, secondary market transactions, and related regulatory requirements.
- Support real estate and loan diligence, structuring, and documentation across performing and nonperforming portfolios.
- Partner with investment and asset management teams on legal issues impacting residential mortgage and real estate strategies.
- Lead private fund formation and structuring, including fund documentation and investor matters
- Provide legal oversight for mortgage, structured finance, securitization, and warehouse transactions
- Advise on mortgage regulatory requirements at the federal and state level
- Negotiate and manage key commercial, financing, servicing, and vendor agreements
- Oversee litigation matters and manage relationships with external counsel
- Identify and manage legal and regulatory risk across the platform
- Support governance, strategic initiatives, and firm growth
Qualifications
- Juris Doctor (JD) from an accredited law school
- 5 years at big law firm, drafting, executing, and negotiation experience
- 10 years of relevant legal experience in structured mortgage loans, loan origination closing
- Strong working knowledge of RIA Compliance Federal Covered Adviser Requirements
- Experience interacting with regulators
- In-house experience strongly preferredr
Salary : $175,000 - $250,000