Company Overview

Engine No. 1 is an investment firm purpose-built to lead the next generation of investing. We believe that creating value for shareholders cannot be separated from the impact companies have on their stakeholders. We also believe that a company’s performance is greatly enhanced by the investments it makes in its employees, customers, communities, and the environment. The firm intends to invest as an active, engaged owner in both public and private companies, with a focus to generate economic value over the long-term through four business lines: private equity/early investor, concentrated long/short funds, impact investment through activism campaigns and ETFs. 

Founded by a seasoned team of industry leaders, we are seeking enthusiastic and engaged professionals to join us to help achieve the firm’s mission and help lead the movement towards more sustainable and inclusive capitalism.

Position Description

Engine No. 1 is seeking a highly ethical, teamwork driven legal professional to provide value to the Legal and Compliance Division of Engine No. 1.  The successful candidate will enjoy working in an open and transparent environment in which diverse experience, skill sets and individuals can team together to drive optimal outcomes while supporting, respecting and cooperating among all.  In addition, they will contribute to an environment of teamwork, having fun and being around people who are proud of what they do and are trying to achieve. 

Responsibilities

The Deputy General Counsel reports directly to the General Counsel and will be involved in the following critical activities:

  • Provide ongoing advice with respect to structuring and enhancing exchange trade funds (ETFs) and unregistered investment vehicles, including reviews of registration statements and preparation of offering documents
  • Support business development, client solutions, marketing, operations and other teams with regulatory, structuring and legal document review as it relates to new business products, services and relationships
  • Draft, review and advise on new and existing commercial contracts including NDAs, employment agreements, counterparty and vendor contacts, engagement letters, etc.
  • Monitor areas of regulatory focus, industry developments and best practices and manage compliance with new requirements
  • As part of SEC, FINRA, and CFTC regulatory, help manage regulatory audits and exams and spearhead filing requirements and regulatory disclosures
  • Engage and support compliance efforts across the firm
  • Engage with portfolio companies in respect of portfolio company governance and compliance with firm procedures
  • Help overseeing corporate governance practices and procedures
  • Maintain solid knowledge of firm’s operations and relevant activities

Education, Skill and Experience Requirements 

  • J.D. with a minimum of 8 years of legal and compliance experience from a top tier law firm, the SEC, and/or as an in-house attorney with a registered investment adviser or asset management firm with a focus on investment management issues
  • Broad knowledge of federal securities laws and regulations, including the Securities Act of 1933, the Investment Advisers Act, the Investment Company Act, and rules and regulations applicable to ETFs and private funds
  • Ability to work in an entrepreneurial, fast paced environment and provide leadership and counsel as the firm continues to scale
  • Excellent problem solving and communication skills with the ability to deliver clear recommendations in support of the firm’s business objectives
  • Ability to think through complex regulatory issues and translate legal language into easily understandable summaries
  • Excellent judgment, particularly as it relates to managing and mitigating business risks
  • Possessing unquestionable ethics and personal integrity

 Location

  • San Francisco or New York

 

Engine No. 1 is an Equal Opportunity Employer.

 

Apply for this Job

* Required
  
  
When autocomplete results are available use up and down arrows to review
+ Add Another Education


U.S. Equal Opportunity Employment Information (Completion is voluntary)

Individuals seeking employment at Engine No. 1 are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements.

Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.


Form CC-305

OMB Control Number 1250-0005

Expires 05/31/2023

Voluntary Self-Identification of Disability

Why are you being asked to complete this form?

We are a federal contractor or subcontractor required by law to provide equal employment opportunity to qualified people with disabilities. We are also required to measure our progress toward having at least 7% of our workforce be individuals with disabilities. To do this, we must ask applicants and employees if they have a disability or have ever had a disability. Because a person may become disabled at any time, we ask all of our employees to update their information at least every five years.

Identifying yourself as an individual with a disability is voluntary, and we hope that you will choose to do so. Your answer will be maintained confidentially and not be seen by selecting officials or anyone else involved in making personnel decisions. Completing the form will not negatively impact you in any way, regardless of whether you have self-identified in the past. For more information about this form or the equal employment obligations of federal contractors under Section 503 of the Rehabilitation Act, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition.

Disabilities include, but are not limited to:

  • Autism
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS
  • Blind or low vision
  • Cancer
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or hard of hearing
  • Depression or anxiety
  • Diabetes
  • Epilepsy
  • Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome
  • Intellectual disability
  • Missing limbs or partially missing limbs
  • Nervous system condition for example, migraine headaches, Parkinson’s disease, or Multiple sclerosis (MS)
  • Psychiatric condition, for example, bipolar disorder, schizophrenia, PTSD, or major depression

1Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.