Job Details


Company name

Organization Type


Job Type


Years of Experience

Min 3 yrs required


Bethesda, MD

Date Last Verified

Oct 17,2017

Posted on

Jan 16,2016
Practice Area
Corporate >> Corporate - Investment Company Act
Corporate >> Corporate - Securities and Capital Markets
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Counsel Duties: Will be to support 40 Act fund activities and will be largely responsible for owning the registration process, and other legal processes as assigned. Drafting, reviewing and updating of regulatory materials, including registration statements and exemptive applications; Handle aspects of registration statement process, including process enhancement and coordinating the printing of prospectuses and supplements; Draft initial registration statements for new funds; Draft authorized participant ETF handbook updates and manage dissemination; Maintain comment file and maintain binder of SEC response letters; Maintain master Legal Department calendar, including regulatory filings, board meetings and other non-routine projects; Responsible for Legal Department document management and electronic files of regulatory materials; Review and revise board materials as assigned; Review and negotiate basic fund and adviser documents as needed; Project management and manage special projects; Maintain master fund list in coordination with Legal Admin; Other duties and responsibilities as assigned.

Qualification and Experience

Qualifications: Experience required to fill this position should include mutual funds and mutual fund regulation, ETF and commodity experience a plus. Prefer candidates with the following specific requirements: 3+ years of law firm or in-house legal experience with a focus on funds and investment advisers; Knowledge of Investment Company Act of 1940 and Securities Act of 1933. Significant corporate legal experience; Must be able to supervise and coordinate service providers; Ability to balance competing priorities and work independently in a cross-functional team environment; and Outstanding communications, analytical and organizational skills required.

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