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Regulatory Attorney

2 months ago

New Orleans, Louisiana, United States Monroe Capital Corporation Full time
Job Description

Monroe Capital Corporation is seeking a licensed attorney with experience working with the Investment Company Act of 1940 and related securities laws and regulations to join our legal team.

Key Responsibilities
  • Regulatory Administration Duties:
    • Draft, review, and prepare registration statements for new products or annual updates to fund registration statements;
    • Ensure timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings;
    • Communicate with the U.S. Securities and Exchange Commission ("SEC") and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients;
    • Prepare agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes;
    • Serve as a legal resource by providing guidance on issues concerning regulated investment companies, investment advisors, and related entities, including regulatory compliance and co-investment issues.
  • Additional Responsibilities:
    • Prepare and participate in webinars/calls on regulatory updates to Fund Services' clients;
    • Work on departmental projects and other tasks as assigned.
Requirements
  • Law degree;
  • 5 or more years of experience working with the Investment Company Act of 1940 and related securities laws and regulations;
  • Knowledge of closed-end fund laws and regulations, mutual fund, business development companies and ETF knowledge a plus;
  • Excellent verbal and written communication skills;
  • Ability to manage multiple tasks simultaneously in a deadline driven environment as well as contribute to department and organizational special projects;
  • Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable;
  • Strong attention to detail;
  • Experience managing or supervising the work of other 1940 Act professionals or legal support staff.