Job Details

Attorney – Investment Management

Company name

Organization Type


Job Type


Years of Experience

5-10 yrs required


San Mateo, CA

Date Last Verified

Oct 19,2017

Posted on

Jul 23,2017
Practice Area
Corporate >> Corporate - Investment Company Act
Apply for this job
Your Email:
Upload Resume:

81 hits


Attorney – Investment Management Duties: Advise and counsel investment advisers and portfolio management teams on issues arising under the Investment Company Act, Investment Advisers Act, Securities Exchange Act, and other federal and state securities laws with respect to the registration, distribution and operations of registered funds. Serve as a disclosure attorney for open-end registered investment companies. Responsibilities include drafting and reviewing fund registration and other disclosure documents, shareholder reports, proxy statements, fund-related marketing materials, fund board materials, agreements, and legal memoranda. Support special projects, including product development, launch of new funds and investment products, and other investment management-related matters. Participate in industry advocacy relating to investment management matters.

Qualification and Experience

Qualifications: JD Degree and license to practice law in the U.S. (with subsequent California Bar membership or certification as Registered In-House Counsel). 5 – 10 years preferred (3+ years) experience in the investment management area with a law firm and/or global financial services company. Knowledge and experience with laws and regulations under the Investment Company Act of 1940, Investment Advisers Act of 1940 and Commodity Exchange Act. A self-directed individual with a high degree of attention to detail, ability to multi-task and prioritize, and effective oral and written communication skills. Ability to establish and maintain cooperative working relationships with other members of the legal team, company management and outside business contacts.

Additional info


Company info

Apply Now

Similar Jobs:

Vice President Chief Compliance Officer The candidate will conduct, oversee and document periodic regulatory risk assessments to determine compliance risk. Will develop, test and maintain policies and procedures for applicable re...
Broker-Dealer Attorney Responsibilities: Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and compliance requirements and risks. Analyze and provide guidance on ev...
Corporate Counsel The candidate will be responsible for providing legal support to the company and its subsidiaries and responding promptly to legal requests from the subsidiaries by summarizing and communicating legal concepts f...