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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Government and Government Relations
Min 2 yrs required
Legal Counsel - ‘40 Act Regulatory Oversight (ETFs) Duties: Provides legal advice based on research and in-depth understanding of ETFs, the Investment Advisers/Company Act of 1940, and related regulations and practices to internal stakeholders including the Group and Product Management. Prepares and reviews internal and external materials affecting the ETF business, including regulatory filings, such as registration statements and proxy statements; listing exchange filings; board materials; and policies and procedures. Negotiate and/or advise on legal contracts and agreements impacting ETFs. Collaborate with marketing, website, and distribution teams to support the ETF business. Communicates and collaborates with leaders who also serve in an advisory or oversight capacity, such as Compliance, Risk and Audit, and develops the legal response/position for issues identified. Maintains productive relationship with relevant regulators (e.g., SEC, CFTC, FINRA), external and internal clients, and board of directors. Lead and/or support routine processes or special projects, such as new rule implementation and business initiatives, on a cross-functional basis.
Qualification and Experience
Qualifications: Law degree from accredited school of law. Licensed and active state bar membership. 2+ years of total relevant work experience. Preferred Qualifications: Attorney with in-house or law firm financial services experience with 5+ years of such experience. Experience working with mutual funds or ETFs strongly preferred. Experience interacting with business teams, such as Investments, Distribution, Operations and Trading groups as well as other attorneys and compliance teams. Ability and intent to (1) create value for clients; (2) think and act strategically; (3) champion integrity; (4) drive results and accountability; and (5) communicate effectively.
Ref. 57874
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