Job Details


Company name


Organization Type


Job Type


Date Last Verified

Jun 29,2018

Posted on

Jan 16,2016

Years of Experience

Min 3 yrs required


Bethesda, MD
Practice Area
Corporate >> Corporate - Investment Company Act
Corporate >> Corporate - Securities and Capital Markets
Apply for this job
Your Email:
Upload Resume:

1060 hits


Counsel Duties: Will be to support 40 Act fund activities and will be largely responsible for owning the registration process, and other legal processes as assigned. Drafting, reviewing and updating of regulatory materials, including registration statements and exemptive applications; Handle aspects of registration statement process, including process enhancement and coordinating the printing of prospectuses and supplements; Draft initial registration statements for new funds; Draft authorized participant ETF handbook updates and manage dissemination; Maintain comment file and maintain binder of SEC response letters; Maintain master Legal Department calendar, including regulatory filings, board meetings and other non-routine projects; Responsible for Legal Department document management and electronic files of regulatory materials; Review and revise board materials as assigned; Review and negotiate basic fund and adviser documents as needed; Project management and manage special projects; Maintain master fund list in coordination with Legal Admin; Other duties and responsibilities as assigned.

Qualification and Experience

Qualifications: Experience required to fill this position should include mutual funds and mutual fund regulation, ETF and commodity experience a plus. Prefer candidates with the following specific requirements: 3+ years of law firm or in-house legal experience with a focus on funds and investment advisers; Knowledge of Investment Company Act of 1940 and Securities Act of 1933. Significant corporate legal experience; Must be able to supervise and coordinate service providers; Ability to balance competing priorities and work independently in a cross-functional team environment; and Outstanding communications, analytical and organizational skills required.

Company info

Hiring Coordinator
7501 Wisconsin Avenue
Suite 1000E
Bethesda, MD 20814

Similar Jobs:

Commercial Counsel Duties: Advise business segment management on a wide range of legal issues relating to their business operations, including large commercial agreements and transactions, and U.S. and international laws and regu...
Counsel - Securities, Governance and Transactions The candidate will serve as a functional expert for SEC, NYSE and governance matters. Will provide advice and legal counsel on an as needed basis as a business unit/functional law...
Senior Corporate Counsel The candidate will collaborate with other company departments in drafting and reviewing SEC filings, including proxy statements, Forms 10-K, 10-Q and 8-K, as well as Section 16 filings. Will advise on Boa...