Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
1940 Act Attorney The candidate will be drafting, reviewing and preparing annual updates to fund registration statements. Will be ensuring timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements and related filings. Communicating with the U.S. Securities and Exchange Commission (â€œSECâ€) and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients. Preparing agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes. Serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning investment companies, investment advisers, and related entities. Educating clients with respect to legal, regulatory, and industry developments.
Qualification and Experience
The candidate should have Law degree. Must be Member of the WI bar association. Must have 2-4 years of legal experience in the investment management practice of a law firm, fund complex or fund servicing organization. Should preferably have 2-4 years legal experience in the investment management practice of a law firm, fund complex or fund servicing organization dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance and practices. Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations is preferred. Excellent verbal and written communication skills is preferred.
Company infoHiring Coordinator