Mid-size Funds Co. Attorney-NYC # FDS303

posted on: 30 Jan 2018


Description: Senior Funds Attorney opportunity with an established, mid-size NYC Funds Company!
Seeking a funds specialist with at least 10+ years of experience. 

They provide U.S. and non-U.S. institutional investors and financial advisors access to a group of growth equity separate accounts, mutual funds, and privately offered investment vehicles. 

Report to and assist the General Counsel with registration statements, board materials, and shareholder correspondence.  

Small group, nice boss. Competitive compensation. 

  • Support drafting, editing, revising, and reviewing legal documents.  
  • Draft and review registration statements, investment advisory and sub-advisory agreements, annual reports, proxy statements, and organizational documents for open and closed registered funds.  
  • Responsible for assisting with regulatory filings including, but not limited to, SEC Form ADV, Form 13F and 13H, Schedule 13G, 13D, and Forms 3, 4, 5.  
  • Assist in the preparation of documentation for amendments, withdrawals, mergers, and dissolutions of fund series.  
  • Assist in the preparation and execution of contracts and agreements for mutual funds and corporate entities. 
  • Aid in the preparation of Mutual Fund Registration statements, supplements to prospectuses, and related Securities Act and SEC filings. 
  • Assist with the compiling, organizing and reviewing agendas and materials for Board of Trustees meetings; the drafting of minutes of meetings; liaising with Board of Trustees on advisory and distribution matters.  
  • Assist the legal and compliance with SEC, FINRA and European rules and regulations.  
  • Work on general corporate matters including private fund formation and financing deals.   

Requirements: Qualifications:   

  • 10+ years of experience with strong knowledge of the fund industry and securities laws. 
  • Subject matter expert in the Investment Advisorís Act of 1940, Investment Company Act of 1940, SEC and FINRA rules, and UCITS regulations. Experience with Equity Asset Management, Hedge Fund and/or the Investment Advisor industry.     
Resumes in confidence to: jberger@meridianlegal.com
Type: Attorney- In-House
Level: Counsel
Compensation: unspecified
State: New York City:
Telephone: Email: jberger@meridianlegal.com
Recruiter Name: Joel Berger