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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 fu...
Corporate Associate, Mid Level
The candidate should have 3+ years of experience. The candidate will have extensive capital markets experience, including representing companies,investors and underwriters in public securities transactions, and public companies in corporate governance and SEC reporting and compliance matters;excellent drafting skills; the ability to interact effectively with sophisticated client management teams; and the ability to be friendly and collegial w...
Shareholder/Of Counsel-level Attorney
The candidate should have general corporate and securities experience. Must have significant experience with complex corporate transactional and finance matters. Must have a self-sustaining book of business.
Corporate Senior Associate – Transactional
The candidate should have 3-5 years of post-JD experience. Practice in this area includes capital markets, public company and securities law counseling, debt financings, mergers and acquisitions and startups and venture capital financing.
Counsel, Regulatory Capital Markets Policy
The candidate will render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. Serve as subject-matter expert in areas relating to trading practices, market integrity and market structure in equities, options and fixed income, including order handling requirements, trade reporting...
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Financial Institutions Associate
The candidate should have 2-3 years of transactional experience, preferably in a large law firm. Should have experience in securities law and M&A transactions. Desired skill sets include: the ability to support others on a wide variety of deals—including securities offerings, particularly private and public securities offerings of equity and debt, and M&A deals; the ability to draft SEC reports and M&A transaction documents for sophistica...
Compliance Senior Associate
The candidate will monitor ETF trading activity to ensure compliance with Prospectus, SAI and other regulatory investment and contractual guidelines. Regular interaction with senior management, compliance, legal, portfolio management and operations personnel. Interact closely with ETF traders and portfolio managers to appropriately manage pre-trade alerts in the Order Management System. Provide timely and accurate advice and guidance to traders ...
Corporate and Securities Associate
The candidate must have top academic credentials, writing skills, 2-4 years transactional and/or regulatory experience. Experience with the Securities Act of 1933, the Securities Exchange Act of 1934 and/or the Investment Company Act of 1940, as well as M&A experience s. Large law firm experience strongly preferred.
Seeking an Associate with 4-7 years out of law school to join sophisticated securities regulatory practice. Should have extensive experience in private practice on the transactional side of the 40 Act, preferably with NY experience. This is to work with the entire financial services group under the direct supervision of a young partner who is a good mentor and a really nice guy.