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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
6-8 yrs required
1940 Act Attorney Responsibilities: (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 (“SECâ€) 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. Ideal candidates will have 6 to 8 years legal experience in investment management practice of law firm, mutual fund complex or mutual fund servicing organization and some experience with closed-end fund registration.
Qualification and Experience
Qualifications: Law Degree. Member of WI bar association. 6-8 years legal experience in investment management practice of law firm, mutual fund complex or mutual fund servicing organization. Preferred: Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations. Excellent verbal and written communication skills. Ability to manage multiple tasks. Proven leadership and supervisory skills.
Ref-160019796
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