Job Details

Corporate Investment Company Act Attorney in Jacksonville FL

Organization Type


Job Type


Date Last Verified

Jul 19,2019

Posted on

Jul 11,2019

Years of Experience

Min 1 yrs required


Jacksonville, FL, United States
Practice Area
Corporate >> Corporate - Investment Company Act
Apply for this job
Your Email:
Upload Resume:

6 hits


Assistant Vice President
The candidate will provide advice to investment personnel and business management on legal and regulatory requirements and provide ongoing support to the compliance department and assist with regulatory examinations. Prepare and file open-end, closed-end and ETF SEC registration statements (Forms N-1A, N-2 and N-14), update and file open-end registration statements and prepare, review and/or file related documents (e.g. N-SAR, N-CSR, supplements, summaries). Draft, review and negotiate fund and other agreements, including service provider agreements and licensing agreements. Assist in the preparation or review of certain Board materials, including Board memoranda relating to product, legal, and regulatory matters. Draft and file, or assist in preparation of, exemptive applications or requests for no-action relief. Prepare and/or negotiate derivative and other trading agreements (e.g. ISDAs, repurchase agreements, etc.) on behalf of the retail funds and ETFs; participate in global working groups related to implementation of regulatory changes; coordinate with fund counsel as appropriate with respect to such agreements.

Qualification and Experience

The candidate should have a J.D. from a reputable law school with relevant experience as a lawyer in a mid to large firm, the government or in the legal department of a financial services company. Should have an asset management background (e.g., mutual funds, etc.) and experience with the Investment Company Act of 1940; knowledge of ETFs is preferred. Strong analytical, written and oral communication and relationship-building skills are required. Must be able to work effectively in a demanding, fast-paced, fluid environment. Must have strong team work ethic and be willing to assume different levels of responsibility as the projects require. Ability to handle multiple tasks and projects concurrently while maintaining the highest standards and attention to detail.

Company info

Apply Now