Principal Legal Counsel

24 hours ago


Denver, Colorado, United States ALPS Fund Services Inc Full time

pAsaPrincipalLegalCounselatALPSFundServicesInc,youwillplayacriticalroleinsupportingfundgovernanceandregistrationmatters.YourexpertisewillbeessentialinservingasfundsecretaryforALPS-sponsoredfundsandprovidinglegaladministrationservicesforthird-partyclients.Youwillprepareandnegotiateserviceandvendoragreements,ensuringcompliancewithregulatoryrequirements./ppKeyresponsibilitiesincludeadvisingoninvestmentadviser,mutualfund,ETF,andclosed-endfundlegalissues.Youwillprepareandoverseevariousmutualfund,ETF,andclosed-endfundregulatoryfilingswiththeU.S.SecuritiesandExchangeCommission,includingregistrationstatementsonFormN-1AandFormN-2.Additionally,youwillprepareandoverseeannualshareholdermeetingsforclients,includingfilingproxystatementswiththeU.S.SecuritiesandExchangeCommission./ppOtherkeydutiesincludepreparingandreviewingfundadvisory,sub-advisory,custodian,transferagency,fundaccounting,administration,anddistributionagreements.Youwillalsoprepareboardmeetingmaterialsfor'40Actfundboardsofdirectors/trusteesandattendboardmeetings.Yourabilitytomonitorandreportonregulatorydevelopmentswillbecrucialinensuringthecompanyremainscompliantwithchangingregulations./ppTobesuccessfulinthisrole,youwillneedaJurisDoctorateand3-8years'experienceatalawfirmorfinancialservicesfirmadvisingontheInvestmentAdvisersAct,InvestmentCompanyActof1940,andotherfederalsecuritieslaws.AdvancedknowledgeoftheInvestmentAdvisersAct,InvestmentCompanyActof1940,andotherfederalsecuritieslawsisessential.Youwillalsoneedtheabilitytoadviseon'40Actfundserviceprovidercontractsanddraftcontractterms./ppThisisanexcellentopportunitytojoinaleadingproviderofinvestmentandfinancialservicesandsoftwareforthefinancialservicesandhealthcareindustries.AsaPrincipalLegalCounsel,youwillhavetheopportunitytoworkwithatalentedteamandcontributetothecompany'scontinuedgrowthandsuccess./ppSS&CTechnologiesisanEqualEmploymentOpportunityemployeranddoesnotdiscriminateagainstanyapplicantforemploymentoremployeeonthebasisofrace,color,religiouscreed,gender,age,maritalstatus,sexualorientation,nationalorigin,disability,veteranstatus,oranyotherclassificationprotectedbyapplicablediscriminationlaws./ppSalaryisdeterminedbyvariousfactors,includingrelevantworkexperience,job-relatedknowledge,skills,abilities,businessneeds,andgeographicregions.Thesalaryrangeforthispositionis$140,000USDto$190,000USD./p



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