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Years of Experience
Date Last Verified
ProfileRetail Asset Management Product and Disclosure Lawyer The candidate will serve in general duties include asset management contractual, regulatory and legal issues (e.g., Investment Company Act issues). Will 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. Prepare and file open-end, closed-end and ETF SEC registration statements (Forms N-1A, N-2 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). Draft and file proxy statements for fund proxy solicitations. Review of fund shareholder reports and, as necessary, fund marketing materials. Draft, review and negotiate fund agreements, including service provider agreements. Assist in the preparation or review of certain Board materials, including Board memoranda relating to product and legal and regulatory matters. Assist in drafting fund policies and procedures within the framework of regulatory and legal compliance. Draft and file, or assist in preparation of, exemptive applications or requests for no-action relief. Participate in or represent legal department on various internal or external committee meetings.
Qualification and Experience
The candidate should have JD degree from a reputable law school with 4+ years of 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. Knowledge of ETFs is preferred.
Job ID: 3154764