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In House Attorney Mutual Funds
- Attorney Mutual Funds In House
- Our client specializes in manaing income-oriented equity portfolios
About Our Client
Our client specializes in manaing income-oriented equity portfolios with an emphasis on U.S. and international real estate securities, large cap value stocks, listed infrastructure and utilities, and preferred securities.
- 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.
- Negotiate listed and OTC derivatives agreements, credit agreements, and serve as legal contact for covenants, terms and 1940 Act restrictions
- 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
The Successful Applicant
- 5 to 7 years' related experience in-house, regulatory, or with a leading law firm
- In depth knowledge of securities laws as they pertain to registered investment advisers including the Investment Adviser's Act of 1940 and the Investment Company Act of 1940
- Must have experience with: mutual funds, compliance, legal issues relating to asset management, broker dealer issues, and negotiating & drafting contracts
- JD required.
What's on Offer
Competitive compensation and package