Senior Funds Counsel-East Coast# SFS404

posted on: 8 May 2018


Description: Senior Funds Counsel for established yet fast growing, innovative, dynamic funds company. 100+ funds and growing!  

  • Nice GC, 6 attorney group, opportunity to supervise junior attorney(s).
  • Attractive compensation:  base + bonus + benefits.  
  • Relocation and interview expenses paid. 
  • Support 40 Act fund activities and be largely responsible for owning the registration process, and more.  
  • Drafting, reviewing and updating of regulatory materials, including registration statements. 
  • Draft authorized participant handbook updates and manage dissemination
  • Review and revise board materials.  
  • Handle aspects of registration statement process, including process enhancement and coordinating the printing of prospectuses and supplements. Draft and review registration statements (prospectuses and statements of additional information), board materials and proxy statements.  
  • Annual and semi-annual shareholder reports and other regulatory documents.  
  • Work closely with the compliance and fund administration teams; regulatory issues, new product initiatives, investment eligibility issues, general legal and corporate governance matters. Research and advise on developments in the laws, regulations and practices relating to the retail funds industry.  
  • Opportunity to supervise junior attorney doing similar 40 Act work. 
  • Contact with portfolio managers and senior management.  
  • Special projects.
  • 7+ years of 40 Act/mutual funds/registered funds experience
  • Strong knowledge of Investment Company Act of 1940
  • ETFs and/or alternative funds experience a plus but not required. 

Resumes in confidence to:
Type: Attorney- In-House
Level: Counsel
Practice: Securities / Funds
Compensation: unspecified
State: City:
Telephone: Email:
Recruiter Name: Andrea Steiner