Registered Funds Associate Attorney

Recruiter

New York City, NY

Registered Funds Associate Attorney

Attorney

2-10 yrs required

No

A law firm in New York City is seeking a Registered Funds Associate Attorney with 3-6 years of legal experience. The successful candidate will provide comprehensive legal advice and guidance to clients on matters pertaining to registered investment companies, including mutual funds, exchange-traded funds (ETFs), closed-end funds, interval funds, tender offer funds, and business development companies, as well as their advisers and directors. This role involves collaborating with clients, internal teams, and regulatory authorities to ensure compliance with relevant laws and regulations.

Duties:

• Provide legal counsel and guidance on matters related to registered investment companies and their advisers and boards, including fund formation, registration, and ongoing compliance.
• Advise on product development, including novel product designs, and review and draft legal documents such as prospectuses, statements of additional information, and shareholder reports.
• Conduct legal research and analysis on complex issues, including relevant securities laws, regulations, and industry trends.
• Guide clients on compliance with securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934.
• Represent clients in interactions with regulatory authorities such as the Securities and Exchange Commission (SEC) and state securities regulators.
• Collaborate with clients and internal stakeholders to ensure legal compliance and address any legal issues that may arise.
• Provide subject matter expertise in related practices, such as mergers and acquisitions in the financial services industry.
• Offer training and guidance to junior attorneys and legal staff.

Requirements:

• 3-6 years of legal experience, preferably in securities law or investment management.
• Strong knowledge of securities laws and regulations, particularly those related to registered investment companies and registered investment advisers.
• Ability to effectively communicate complex legal concepts to clients and internal stakeholders.
• Excellent analytical, research, and problem-solving skills.
• Ability to build and maintain relationships with clients and colleagues.
• Juris Doctor (.) degree from an accredited law school and admission to the Bar.

Education:

Juris Doctor (.) degree from an accredited law school.

Certifications:

Admission to the Bar.

Skills:

• Comprehensive understanding of securities laws and regulations.
• Effective communication of complex legal concepts.
• Strong analytical, research, and problem-solving abilities.
• Relationship-building skills with clients and colleagues.
• Ability to provide training and guidance to junior attorneys and staff.