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In-House Fund Counsel
2 months ago
In-House Fund Counsel - Investment Law Specialist
We are seeking a dedicated attorney to enhance their career within the investment sector.
Key Qualifications:
· 4-7+ years of legal experience related to the Investment Company Act of 1940 and/or the Securities Acts of 1933 & 1934, with a strong aptitude for mastering the other.
· A solid understanding of legal and regulatory issues concerning public securities ('33, '34) or registered investment funds ('40).
· Background from law firms, in-house positions, or the Securities & Exchange Commission in relation to the '33, '34, or '40 Act.
Position Highlights:
· Elevate your legal career while making a substantial impact. Ensure adherence to regulatory disclosure mandates for mutual funds and Exchange Traded Funds (ETFs).
· Draft, review, and refine essential documents, including summary prospectuses, statutory prospectuses, and statements of additional information, ensuring precision, clarity, and compliance.
· Play a pivotal role in the development and launch of new funds, working collaboratively with cross-functional teams.
· Contribute to the preparation and evaluation of shareholder reports and other regulatory submissions.
· Prepare and oversee proxy statements for shareholder meetings and proxy campaigns from a legal standpoint.
· Provide expert advice to various departments on regulatory disclosure issues, investment policies, restrictions, and any regulatory or legislative changes affecting the funds.
· Act as a primary contact with the Securities and Exchange Commission (SEC), addressing and responding to inquiries on fund disclosure matters.
· Assist with special initiatives that drive the growth of the organization.
Additional Considerations: This role offers an excellent opportunity for professional growth.
· Learning Opportunities: Gain training in '40 Act and fund operations if you possess SEC '33 & '34 Act experience.
· Flexible Work Model: Enjoy the benefit of working in a hybrid model, with only 2-3 days required in the office.
· Compensation Package: Competitive salary up to $260,000+.
· Relocation Assistance: Support for any state bar and relocation needs.
· Engaging Content: Work with challenging and stimulating securities and fund-related content.
· Organizational Culture: Become part of a well-established, secure, and generous organization.
· Comprehensive Benefits: Enjoy a robust benefits package that includes 401(k), dental insurance, professional development opportunities, and more.
We look forward to discussing this opportunity with qualified candidates.