Vice President Regulatory Admin. Advisor recruitment

The group provides SEC registration statement and corporate secretary services to mutual fund clients of all types, including open-end and closed-end funds, as well as ETFs.

The Regulatory Counsel will be responsible for the following:
 
•         Review and production of materials for client board meetings, including regular, special and organizational meetings
•         Review the work performed by paralegals and other professionals in the group
•         Management of corporate governance matters for full service clients
•         Attend client board meetings and discuss compliance and other matters
•         Ability to advance client relationship issues within the organization
•         Draft client board memoranda for issues affecting client
•         Assist in client product development initiatives, including drafting of offering documents for new funds
•         Serve as resource internally for compliance and related SEC rules and developments
Qualifications
 
Qualifications and Experience
•         Minimum of 5 years of experience as an attorney in any of the following organizations:
-Law firm (specializing in Mutual Fund, RIC)
-Mutual fund organization (adviser, distributor)
-Fund Administrator (custodian bank/ transfer agent/service provider)
 
•         Experience working with mutual fund boards, including attending board meetings and delivering presentations and covering matters for board consideration
•         Mutual fund regulatory and compliance (i.e., SEC filings, prospectus drafting and filing, preparing Board materials, attending Board meetings, portfolio compliance, etc.)
•         General corporate and securities law, such as establishing and maintaining companies (filings and board directors work) and preparing documents and filings for private placements and public offerings
•         Mutual fund processing operations (i.e., transfer agency, fund accounting, custody)
•         Fund Accounting and Administration background
•         Regulatory exams/inspections: SEC, OCC, Fed, FDIC, etc.
•         Contracts: negotiation and administration
 
•         Bar Membership - Any Jurisdiction