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Job ID Number: 1256138986
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Attorney |
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| Job Title: |
Attorney Mutual Funds |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Michael Lane |
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| Recruiter Email: |
MLane@ComplianceSearch.com |
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| Description: |
JOB SUMMARY
Working with Senior Attorney and other staff to provide legal support for all NY-based registered funds, sub-advisory relationships and other retail products. Will work closely with senior management, fund administration & the compliance team; handle regulatory issues and general legal matters.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
Provide legal advice and support on issues relating to registered (open & close-end) funds, wrap-fee programs, and sub-advisory relationships with particular emphasis on contracts, distribution, product development, marketing, and sales practices.
Assist in preparation of materials for board meetings.
Draft organizational documents, board actions, investment management agreements and service contracts
Work closely with senior management, handle regulatory issues, general legal matters and work closely with the compliance and fund administration team.
Preparation and filing of annual updates and registration statements for new funds and series as well as all other required filings.
Legal review of sales literature for various entities or products
SKILLS:
Has detailed knowledge of securities laws applicable to registered investment advisers including the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Attorney with top credentials, approximately 3+ years related experience in-house, regulatory, or leading law firm required
Experience with the following:
o mutual funds
o compliance
o legal issues relating to asset management
o negotiating and drafting contracts
o Broker/Dealer issues.
Intelligent, bright, conceptual thinker and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas.
Outstanding reputation of professional integrity and have the potential to be immediately, personally credible within the organization and in the investment and client communities.
An independent entrepreneurial self-starter with the ability to get things done.
Excellent communications and presentation skills.
Mature and self-confident.
Consensus builder and team player with the ability to work well within a matrix organization.
Cultural skills and sensitivities to work effectively in global organizations.
Law degree required.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com |
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