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Law Firm
Attorney
Corporate
Corporate - Asset/Investment Management
Corporate - General
Corporate - M&A
Corporate - Private Equity
Corporate - Securities and Capital Markets
Corporate - Venture Capital/Emerging Companies
3-5 yrs required
Associate Attorney – Securities Attorney The candidate will play an immediate and direct role in regulatory, compliance, and transactional client work for a national practice serving SEC-registered investment advisory firms, open-end investment companies (mutual funds), registered closed-end investment companies, ETFs, common and collective investment trusts, other public and private on-shore and off-shore investment vehicles, as well as work for fund industry service providers. Will assist in defense of SEC examinations and enforcement defense matters, as well as independent investigations for asset management and financial services industry clients. Handle client base includes many corporate and fund boards, institutional trustees, and other fiduciaries, so knowledge of corporate governance issues specific to these parties is important. Collaterally, will also support contract work, outsourcing deals, M&A work, and dispute resolution efforts within the context of the asset management and financial services client base. Prior experience in these collateral areas is less important, but beneficial.
Qualification and Experience
The candidate must have 3-5 years’ of dedicated experience working for asset management industry clients, and working knowledge of relevant federal securities laws specific to the asset management industry, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, as well as the Securities Act of 1933 and Exchange Act of 1934.
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