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About the Role
Seeking a self-motivated, results-oriented mid-level Legal Counsel to provide legal advice to internal clients and support the Legal & Compliance Team. This role involves advising on investment management, mutual fund, ETF, and CIT legal and regulatory compliance, preparing SEC filings, and supporting board meetings.
Responsibilities
- Assist with the preparation of materials for board meetings including board memos and minutes
- Draft and review SEC regulatory filings, such as initial filings and annual updates to the registration statement on Form N-1A, registration statement supplements, business combinations on Form N-14, and information statements
- Draft principal investment strategies and risk disclosures for investment products
- Review, negotiate and draft of a wide range of contracts, including investment management agreements, intermediary and trading agreements for the various products, and general vendor contracts
- Conduct legal research on a diverse range of issues including new regulations
- Participate in cross-company projects as necessary
Requirements
- Licensed attorney with law degree from a national law school and strong academic credentials
- At least four years of experience with the Investment Company Act of 1940 and Investment Advisers Act of 1940 with a major law firm or in-house with a fund company
- Experience drafting and negotiating contracts
- Committed to maintaining the highest ethical standards
Skills
- Prior experience as an attorney in the investment management industry
- Knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Securities Act of 1933
- Excellent interpersonal and communications skills
- Ability to interact with business professionals and address issues in a thoughtful and timely manner
- Independent, self-starter with a positive, can-do attitude
- Ability to follow through and complete tasks in a team environment
- Ability to work individually and with other team members under pressure
- Prioritize competing tasks that require the highest level of attention to detail and accuracy
- Proficiency with learning and administering technological applications
- Ability to shift focus dependent upon the need of the department to support teamwork
Location
- Chicago
- Boston
- New York
Work Type
- Hybrid
Experience Level
- Mid-level
Education Level
- Law degree from a national law school
Salary/Compensations
- $155,000 - $195,000 plus bonus eligibility