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Years of Experience
Date Last Verified
Legal Administration Staff Attorney The candidate will be responsible for providing a variety of corporate governance services to mutual fund clients of all types, including open-end and closed-end funds and exchange-traded products. Will be responsible for completing ongoing Legal Administration tasks and projects for their assigned mutual fund advisory clients and board of director relationships. Work closely with Legal Administration staff and other departments of the Company to manage assigned client needs and provide Legal Administration core services on a relatively independent basis. Assist with the identification and resolution of various legal issues as they arise and will develop an understanding of the various federal securities laws, including primarily the Investment Company Act of 1940 and the Securities Act of 1933 and the rules thereunder. Oversee all aspects of the planning, preparation and execution of Board and shareholder meetings, including the preparation and distribution of mutual fund Board meeting materials, including agendas, meeting notices, cover letters, resolutions and other supporting documentation as necessary. Attend and provide support at Board and Committee meetings. Draft and submit for review mutual fund Board and Committee meeting minutes in a timely fashion. Draft and review client agreements and other written memoranda. Prepare and submit for review investment company regulatory filings and shareholder communications (including prospectuses, statements of additional information, supplemental materials, proxy materials, etc.). Incorporate revisions and review drafts of all mutual fund filings submissions with the U.S. Securities and Exchange Commission. Provide support and assistance to other areas of the company and outside vendors and service providers on issues relating to mutual funds. Must have JD degree and admitted to the Bar in any U.S. State and State Bar membership (any jurisdiction). Should have 1-3 years of law firm experience and/or legal experience required, preferably within a financial services company or mutual fund services provider. 1 year of leadership/mentoring experience is preferred. Experience working with mutual fund boards, including attending board meetings, delivering presentations, and covering matters for board consideration is desired.
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