Investment Management Attorney And Chief Compliance Officer

Min 5 yrs required

Full-time

No

Investment Management Attorney and Chief Compliance Officer
The candidate will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and as a member of the Regulatory Administration team supporting closed-end funds, as well as open-end funds and ETFs. Maintain the Trust's compliance program, including review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regulatory guidance. Responsible for compliance oversight of service providers, including conducting site visits (on-site or virtually) to the Trust, specifically numerous independent investment advisers, Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant, the Bank as Custodian, and external parties such as Distributor(s) to the Funds. Work closely with other Trust Officers and actively participate in Trust Board Meetings. Act as the Trust's anti-money laundering (AML) Officer for their respective Trust. Manage the Trust's regulatory examinations. Prepare and deliver the Trust's compliance reports, including the 38a-1 annual report. Draft, review, and prepare registration statements for new products or annual updates to fund registration statements. Ensure timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings. Communicate with the US Securities and Exchange Commission and other regulatory agencies and self-regulatory organizations (., New York Stock Exchange) on behalf of fund clients. Prepare agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes. Serve as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning investment companies, investment advisers, and related entities. Partner with the other Trust CCOs and Trust Officers in monitoring and addressing changes in the regulatory landscape and determining the impact of such changes to the Trust. May prepare and participate in webinars/calls on regulatory updates to Fund Services' clients, work on departmental projects and other tasks as assigned.

Not applicable

Not applicable

Law degree required

Job ID: 2024-0005808

Qualification and Experience The candidate should have a law degree and be licensed to practice in the applicable jurisdiction. Must have 5+ years of experience working with the Investment Company Act of 1940 and related securities laws and regulations. Should ideally have 5+ years of experience practicing with a law firm, closed-end, mutual fund or ETF complex, fund servicing organization, investment advisory firm, or applicable regulatory agency dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance, and practices. Knowledge of closed-end fund laws and regulations, mutual fund and ETF knowledge would be a plus. Experience managing or supervising the work of other 1940 Act professionals or legal support staff is desired.

Legal