Director of Regulatory Services and Legal

Director of Regulatory Services and Legal

Primary Job Duties and Functions

The Director of Regulatory Services and Legal provides legal, tax, insurance, regulatory, and entity-management support across the company's principals, executive team, property management, investor relations, accounting, and human resources functions. Core areas of responsibility include:

1. Entity Maintenance and Corporate Recordkeeping

• Form, amend, qualify, maintain, and dissolve domestic and foreign entities (corporations, partnerships, and LLCs) at the request of principals and attorneys.
• Prepare and file formation documents with state regulators; draft Operating Agreements, Bylaws, Organizational Consents, and stock certificates.
• Prepare IRS Form SS-4 and obtain EINs; register entities to do business as foreign entities in other jurisdictions.
• File annual reports and prepare annual minutes to maintain entity good standing; attend to Registered Agent maintenance and billing.
• Prepare Corporate Record Summaries and Organizational Charts for new entities; maintain and update the master entity schedule and notebook as changes occur.
• Prepare and file documents to amend formation documents, and to dissolve/withdraw entities upon property dispositions; secure partner signatures on new entity agreements.
• Set up and maintain shared-drive legal files and entity folders; prepare the Annual Entity Update for CPAs, attorneys, and other interested parties, reporting entity changes in real time and at year-end.

1. Investor Relations and Securities Compliance

• Ensure investor subscription and qualification documents are properly filed and maintained within internal systems.
• Review Subscription Agreements and Purchaser Questionnaires for completeness and Accredited Investor qualification.
• Prepare Exhibit A schedules of investors, percentage interests, and capital contributions for Partnership/Operating Agreements; obtain partner signatures on agreements and amendments.
• Coordinate daily reporting of interest sales to securities counsel for SEC Form D and State Blue Sky filings.
• Analyze and process Investor Transfer of Interest requests: review governing agreements for permissibility, prepare Assignment and Assumption of Interest documents, obtain investor and GP/Manager signatures, and distribute fully executed documents to Investor Relations, Accounting, and outside CPAs.
• Maintain and annually update the schedule of investor transfers of interest for Investor Relations, Accounting, attorneys, and CPAs; assist with review of Business Plans and Private Placement Memoranda.
• Coordinate with Accounting to confirm investor funding dates for securities reporting.
• Support the Investor Relations team on investor inquiries, qualification/suitability, foreign status and withholding issues, equity raises, investor documentation, and interest-titling matters.

1. Property Management Legal Support

• Provide legal support to Community Manager, Regional Property Managers, executive officers, and all departments on lawsuits, tenant/vendor disputes, and matters escalated from the field.
• Mitigate and resolve disputes; prepare Settlement Agreements and Releases; engage outside legal counsel as needed.
• Manage and oversee all lawsuits against company entities and property owners; monitor case progression and review/approve court filings and pleadings.
• Review contracts, negotiate new agreements, and handle contractual disputes and terminations.
• Receive and process property Incident Reports; evaluate and coordinate response; mitigate claims and losses; maintain the Incident Report Log.
• Advise on third-party insurance claims (e.g., against resident renters' or auto insurance) handled at the property level, and provide requested legal documentation (e.g., proof-of-ownership) and regulatory guidance to site teams.

1. Regulatory Compliance and Licensing

• Respond to violation notices and complaints from regulatory/governmental agencies, including Housing Discrimination Complaints (investigate, compile supporting documentation, prepare and submit response, cooperate with inspections, and close the complaint) and Zoning/Building Code violations (review, cure, and secure resolution).
• Maintain and renew licenses for licensed entities, including General Contractor's License (biennial), hotel/liquor licensing (annual), and Collection Agency License (annual).
• Prepare and file U.S. Census Bureau report responses for the company; provide assistance with HUD reporting for affordable/regulated properties as applicable.

1. Insurance Management and Risk Mitigation

• Manage annual procurement of property, liability, executive liability, and business insurance for the company, principals, and properties, including broker comparisons for competitive pricing and adequate coverage.
• Provide insurance premium estimates for property and corporate budgets.
• Process and manage all property/liability insurance claims, including lender impounding, vendor payments, and lien releases (coordinating with Accounting on fund processing).
• Coordinate with lenders to ensure insurance agents provide compliant Certificates of Insurance meeting loan requirements; lead loss-mitigation and safety monitoring protocols with property and maintenance teams.

1. Acquisitions, Dispositions, and Refinancing

• Coordinate entity establishment and transaction documents with attorneys, the development team, lenders, and title companies.
• Assist with due diligence, insurance requirements, and business plan preparation for prospective transactions; obtain tax estimates for underwriting and maintain required utility bonds.
• Coordinate securities offering materials with attorneys and Investor Relations; assist with SEC and state Blue Sky securities filings and exemption filings.
• Provide loan prepayment terms and request payoff statements from lenders on dispositions and refinancings; support the property management team as needed throughout closing.

1. General Support and Special Projects

• Support special projects requested by principals, the executive team, management teams, other departments (Operations, Accounting, Human Resources, Marketing, Administration, Resolutions/Collections), attorneys, and CPAs.
• Assist principals with personal legal matters, including real property transfers, purchases and sales; insurance procurement, claims, and billing; maintenance of asset schedules (real property, securities, vehicles, life insurance); entity formations/dissolutions; and transfers of interest.

Qualifications

• Bachelor's degree from an accredited institution required. In lieu of a degree, a combination of relevant experience and education will be considered. A paralegal certificate or similar credential 
• 8+ years of directly relevant experience in real estate — corporate in-house/legal environment. Preferably within the Multifamily or residential property management industry.
• Comfortable navigating sensitive, complex landlord/tenant/counterparty and Investor Relations communications with professionalism and discretion.
• Experience handling property damage, insurance claims, first-party claims, construction defect, or insurance litigation strongly preferred
• Knowledge of property insurance policies and the insurance claims process.
• Experience communicating with insurance carriers and adjusters.