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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
3-4 yrs required
1940 Act Attorney The candidate will join the legal group of a growing mutual fund and exchange-traded fund services business. Responsibilities include, among other things: drafting and reviewing initial closed-end and open-end, multi-class mutual fund registration statements to ensure disclosure requirements are met; preparing annual updates to registration statements; ensuring timely and accurate regulatory filings, including registration statement amendments, exchange listing applications, proxy statements and related filings; communicating with U.S. Securities and Exchange Commission examiners and New York Stock Exchange representatives on behalf of fund clients; taking and drafting board meeting minutes; preparing agendas, resolutions, agreements and other policies and procedures for board meetings, including organization meetings; 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 educating internal clients with respect to legal, regulatory, and industry developments. Law degree; membership of CA or WI bar association and 3-4 years of legal experience in investment management practice of law firm or mutual fund complex will be required. Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations preferred. Excellent verbal and written communication skills are preferred.
Ref: 150010511.
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