Funds & ETFs Counsel-NYC# FETF101

posted on: 26 Jun 2018


Description: Brand name investment management organization, with a specialty in Exchange Traded Funds (ETF) is growing and looking for a Funds Counsel with at least 4+ years of funds industry experience. ETFs experience a big plus but not required. NYC location.Position:

  • Report to the General Counsel; support US and in certain foreign jurisdictions.
  • Advise on investment products and related legal issues, with particular focus on ETFs and related matters. 
  • Advise in addressing legal questions that arise associated with our client’s investment management business and with the development of innovative products to facilitate the growth of their ETF business; assist in maintaining ETF Board governance, from development to presentation of Board materials; facilitate the organization, registration and listing of ETFs in the US and Canada under the applicable US and Canadian securities laws; assess requirements associated with promotion and marketing of ETFs in certain foreign jurisdictions. 
  • Facilitate the organization and maintenance of collective investment trusts. 
  • Negotiate servicing and other agreements related to the investment management, ETF and indexing businesses, including licensing agreements. 
Requirements: Skills & Experience 

  • 4+ years of investment management industry experience, preferably with a major law firm and in-house experience with an asset manager;  experience with the Investment Company Act of 1940 and SEC filings for registered investment companies. 
  • Experience with ETFs a plus, not mandatory.
  • Knowledge of registered commodity pools  and non-US securities laws (particularly Canada), CFTC/NFA regulations and FINRA rules a plus. 

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