Associate Attorney recruitment
The Associate Attorney will report to the General Counsel and support the firm’s legal and compliance functions.
Job Duties:
- negotiate investment management agreements and other contracts
- review investment adviser and mutual fund advertisements and sales literature
- review and draft mutual fund prospectuses and SAIs and private placement offering documents
- prepare mutual fund board materials
- legal support for compliance, contract, and regulatory issues
- develop and draft compliance policies and procedures, update compliance manuals
- support the firm’s compliance function, including compliance testing
- draft responses to RFPs, RFIs, 15(c) responses, and due diligence inquiries
- prepare regulatory filings
Skills/Qualifications:
- JD from accredited law school
- state bar membership; California preferred
- 4 to 7 years of investment management legal experience
- experience with securities laws, including the Securities Act of 1933, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Act of 1934, ERISA, FINRA, and adviser and fund advertising rules, hedge funds, derivative instruments, cross-border investment management, brokerage and trading, financial reporting, SSAE 16 reports
- ability to work well with a team
- unquestionable ethics and a history of displaying good judgment
- Microsoft Word proficiency
Compensation: Commensurate with the successful candidate’s experience and skill set.
May 17, 2012
• Tags: Associate Attorney recruitment, Investment Consulting careers in the USA • Posted in: Financial