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Years of Experience
Date Last Verified
Assistant General Counsel - Investment Company Act of 1940 The candidate will report to the Associate General Counsel on the mutual fund team. Will support all aspects of legal and regulatory matters relating to the firm's retail and annuity-dedicated funds. In particular, this individual would be involved in tasks relating to fund board of directors' meetings, fund registration statements, fund mergers, proxy and information statements and general fund matters. Act as a key member of the team that leads the board meeting management function for our three independent mutual fund boards of directors/trustees, including by supporting the annual contract renewal meetings. Assist with the research and development of new fund products - from initial vetting to launch. Provide guidance and support on fund strategy and manager changes. Provide support in connection with the handling of legal and regulatory matters relating to the firm's registration and activities as an investment adviser and commodity pool operator; provide support on brokerage committee matters. Provide support on negotiation of key fund agreements, including subadvisory agreements, and agreements with adviser and fund service providers. Oversee review of trading agreements. Support the firm's affiliated broker-dealer in connection with negotiating and reviewing selling and other agreements with financial intermediaries and on matters relating to fund marketing. Frequently interact with numerous stakeholders, including investments, compliance, fund administration, the insurance product group, marketing and operations, in providing general legal advice relating to the funds.
Qualification and Experience
The candidate should have a J.D. degree with strong academic credentials. Must have 5-8 years of major law firm or relevant in-house experience. Experience relating to registered management investment companies (mutual funds), including in the Investment Company Act of 1940, Investment Advisers Act of 1940 and related securities and corporate laws is required. Should be able to engage in direct negotiation with third parties and demonstrate drafting skills relating to matters of economic and/or legal significance.
Ref. #: JR1802206
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