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In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
5-7 yrs required
Retail Asset Management Lawyer - VP Duties: Asset management contractual, regulatory and legal issues (e.g., Investment Company Act issues) pertaining to open-end and closed-end funds as well as ETFs. Provide advice to investment personnel and business management on legal and regulatory requirements and provide ongoing support to the compliance department and assist with regulatory examinations. Manage and oversee fund derivatives trading arrangements including oversight of special counsel in negotiating and reviewing various trade documents such as ISDAs, futures and options agreements, clearing agreements, repurchase agreements and master confirmation statements; review and completion of various ISDA protocols relating to regulatory changes; and respond to requests for trade documentation and regulatory issues as it relates to OTC derivatives trading. Draft, review and negotiate fund agreements, including service provider agreements and distribution agreements. Prepare and file open-end SEC registration statements (Forms N-1A and N-14), update and file open-end registration statements and prepare, review and/or file related documents (e.g. N-SAR, N-CSR, supplements, summaries). Review of fund shareholder reports and, as necessary, fund marketing materials. Assist in the preparation or review of certain Board materials, including Board memoranda relating to product and legal and regulatory matters. Participate in or represent the legal department in various internal committee meetings as well as in industry trade groups. Update key business contacts with respect to regulatory changes, including those impacting the trading of derivative instruments, such as CFTC clearing requirements for OTC derivatives and EMIR.
Qualification and Experience
Qualifications: JD Degree from a reputable law school with 5-7 years experience as a lawyer in a mid to large firm, the government or in the legal department of a financial services company. Should have an asset management background (e.g., mutual funds, etc.) and significant experience with the Investment Company Act of 1940. Strong analytical, written and oral communication and relationship-building skills are required. Must be able to work effectively and independently in a demanding, fast-paced, fluid environment. Ability to handle multiple tasks and projects concurrently while maintaining the highest standards and attention to detail.
Job ID: 3134865
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