Mutual Fund Attorney
As the Mutual Funds Attorney you will report into the Head Attorney of the Investment Group 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 3-5 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.
You will be:
* 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.
* Hardworking with an ability to multi-task in a dynamic work environment
* 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.
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