Download App | FOLLOW US ON SOCIAL MEDIA
 Upload Your Resume   Employers / Post Jobs 

Corporate - Investment Company Act Attorney in Glendora, CA

U.S. Bank. Sep 12,2017 Aug 19,2017 Location Glendora CA
This job is expired...

In-House

Attorney

Corporate - Asset/Investment Management

6-8 yrs required

Profile

1940 Act Attorney The candidate’s responsibilities include, among other things: (1) drafting and reviewing initial open-end, multi-class mutual fund and closed-end fund registration statements to ensure disclosure requirements are met; (2) preparing annual updates to registration statements; (3) ensuring timely and accurate regulatory filings, including registration statement amendments, exchange listing applications, proxy statements and related filings; (4) communicating with U.S. Securities and Exchange Commission (“SEC”) examiners and New York Stock Exchange representatives on behalf of fund clients; (5) taking and drafting board meeting minutes; (6) preparing agendas, resolutions, agreements and other policies and procedures for board meetings, including organization meetings; (7) serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning the Investment Company Act of 1940, as amended, SEC guidance on exemptive relief, as well as related securities laws; and (8) educating clients with respect to legal, regulatory, and industry developments. Law degree and membership of state bar association required. 6 – 8 years of legal experience in investment management practice of law firm, mutual fund complex or mutual fund servicing organization required. Legal experience in the investment management practice of a law firm, mutual fund complex or mutual fund servicing organization and experience with closed-end fund and ETF registration required. Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations preferred. Excellent verbal and written communication skills required.

Additional info

Job ID: 170020155

Company info