Associate General Counsel - Asset Management

About Corgi Insurance

Corgi is building an AI financial infrastructure company

Tech description:

## Tech Stack

### Languages
- TypeScript/TSX
- Go

### Tools
- TS: Bun/Node, Turborepo, Biome
- Go: Wire
- DB: Postgres (PlanetScale ❤️)

### Key Libraries
- TS: React, NextJS, Drizzle, Resend
- Go: GORM, Gin, Mux

Job description:

ETF + RIA Legal

Location: Chicago

Compensation: $175,000-$250,000 | Equity Options

**About Corgi**

Corgi is building a full-stack AI financial infrastructure company. We design, launch, and manage our own ETFs, and we underwrite and issue our own insurance products. Backed by Y Combinator with $268M raised, 34 live ETFs across 4 trusts, 90+ more in the pipeline, and a growing insurance operation spanning RRGs, captives, and an admitted carrier.

We run our own SEC-registered investment adviser. We file our own registration statements. We respond to our own SEC comment letters. We need someone who can own the legal side of all of that.

**About the Role**

You will be Corgi's first in-house investment management attorney. You'll own every legal deliverable across our ETF trusts and our RIA: SEC filings, comment letter responses, prospectus drafting, board governance, compliance program oversight, and service provider agreements. You'll work alongside our outside counsel and our CCO, but you are the in-house legal function.

This is not a role where you review redlines someone else drafted. This is a role where you're drafting the N-1A, negotiating the index license, prepping the board book, and picking up the phone.

**What You’ll Do**

· Own the SEC filing lifecycle across all Corgi ETF trusts: N-1A, 485A, 485(b), N-PORT, N-CEN, proxy statements, and annual updates.

· Draft, review, and negotiate prospectus and SAI disclosure for new fund launches and ongoing amendments.

· Lead SEC comment letter responses.

· Support RIA compliance program: Form ADV, code of ethics, compliance manual, annual compliance review, and regulatory examinations.

· Prepare and coordinate board and trustee materials: meeting agendas, resolutions, written consents, Section 15(c) packages, and governance documentation.

· Draft, review, and negotiate service provider agreements: custody, fund administration, distribution, index licensing, sub-advisory, ISDA/swap documentation, and AP agreements.

· Prepare exemptive relief applications and no-action letter requests.

· Review marketing materials and investor communications for 40-Act and Advisers Act compliance.

· Coordinate with outside counsel (Greenberg Traurig) and the outsourced CCO (Aspect Advisory) to manage legal and compliance workflows.

· Monitor regulatory developments affecting registered funds and investment advisers.

**Who You Are**

· JD from an accredited law school and active bar membership in at least one U.S. jurisdiction. Non-negotiable.

· 2-5+ years practicing investment management law at a fund-focused law firm, in-house at an asset manager, or at an ETF issuer. You know the '40 Act and/or the Advisers Act.

· You've drafted or substantially revised registration statements (Form N-1A) and responded to SEC staff comments. More than once.

· You've managed RIA compliance programs or worked closely enough with one to own it in-house: Form ADV, code of ethics, compliance testing, books and records.

· You move fast. We file more in a quarter than most emerging managers file in a year. If your instinct is to schedule a meeting about scheduling a meeting, this isn't the right fit.

**Nice to Have**

· Experience at a startup, emerging ETF issuer, or early-stage asset manager.

· Familiarity with leveraged, inverse, or derivatives-based ETFs (swaps, ISDA, futures-based products).

· Experience with exemptive relief applications under the '40 Act.

· Series 7, 63, 65, or 66 licenses.

· Prior SEC examination or enforcement experience (staff-side or defense-side)

· Insurance regulatory experience (captives, RRGs, state DOI filings).