Job Details

Act Attorney

Company name

U.S. Bank.

Organization Type

In-House

Job Type

Attorney

Date Last Verified

May 17,2019

Valid Through

Aug 30,2019

Posted on

Mar 29,2019

Years of Experience

Min 9 yrs required

Location

Milwaukee, WI, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Corporate >> Corporate - Securities and Capital Markets
Apply for this job
 
Your Email:
Upload Resume:

 
29 hits

Profile

1940 Act Attorney
The candidate will join the legal group of a growing mutual fund and exchange-traded fund (“ETF”) services business. Responsibilities include, among other things: (1) drafting and reviewing initial open-end, multi-class mutual fund and closed-end fund registration statements to ensure disclosure requirements are met; (2) preparing annual updates to registration statements; (3) ensuring timely and accurate regulatory filings, including registration statement amendments, exchange listing applications, proxy statements and related filings; (4) communicating with the U.S. Securities and Exchange Commission (“SEC”) examiners and New York Stock Exchange representatives on behalf of fund clients; (5) taking and drafting board meeting minutes; (6) preparing agendas, resolutions, agreements and other policies and procedures for board meetings, including organization meetings; (7) serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning the Investment Company Act of 1940, as amended, SEC guidance on exemptive relief, as well as related securities laws; and (8) educating clients with respect to legal, regulatory, and industry developments. Should have 6-8 years legal experience in investment management practice of law firm, mutual fund complex or mutual fund servicing organization and some experience with closed-end fund registration. Should have Bachelor's degree in accounting, finance or related field. Should be CPA certified or candidate. Should have 9+ years of experience in Mutual Fund Administration or related field, i.e., public accounting. Should preferably have thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations.

Additional info

Ref-190007958

Company info

Hiring Coordinator
U.S. Bank.
777 E Wisconsin Ave
Milwaukee, WI 53259

Similar Jobs:

Capital Markets Counsel III - Global Commercial and Securities Division The candidate will serve as...
Capital Markets Counsel III - Benchmark Team The candidate will be responsible for providing legal ...
Investment-Fund / Securities-Operations Attorney The candidate will be negotiating shareholder-serv...