Mutual Fund Attorney – 40′ Act Exp recruitment
As the Mutual Funds Attorney you will report into a Senior Funds Attorney and be responsible for the following tasks:
* Provide legal advice and support on issues relating to registered (open close-end) funds, index ETFs, model-based 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; attend board meetings and draft minutes.
* 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; filing with FINRA if applicable
* Review and negotiate distribution agreements
This position will provide legal support for all NY-based registered funds, sub-advisory relationships and other retail products. You will work closely with senior management, fund administration the compliance team; handle regulatory issues and general legal matters.
You will currently be working as a Funds Attorney (ideally 5 - 8 years experience) with a law firm or another fund environment and have detailed knowledge of securities laws applicable to registered investment advisers including the Investment Adviser's Act of 1940 and the Investment Company Act of 1940.