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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 5 yrs required
Senior Counsel Candidate will advise on investment adviser, mutual fund, ETF and closed-end fund legal issues. Prepare and oversee various mutual fund, ETF and closed-end fund regulatory filings with the U.S. Securities and Exchange Commission, including registration statements on Form N-1A and Form N-2. Prepare and oversee annual shareholder meetings for clients, including filing proxy statements with the U.S. Securities and Exchange Commission. Prepare and review fund advisory, sub-advisory, custodian, transfer agency, fund accounting, administration and distribution agreements. Prepare board meeting materials for '40 Act fund boards of directors/trustees and attend board meetings. Monitor and report on regulatory developments.
Qualification and Experience
Candidate should have JD degree and 5+ years’ experience at a law firm or financial services firm advising on the Investment Advisers Act, Investment Company Act of 1940 and other federal securities laws. Advanced knowledge of the Investment Advisers Act, Investment Company Act of 1940 and other federal securities laws is needed. Must possess an ability to advise on '40 Act fund service provider contracts. Advanced computer skills, including Microsoft Office (Word, Excel, PowerPoint) are needed.
Auto Req ID: 23527BR.
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