Role details

In House Attorney Mutual Funds

Manhattan   •  Permanent

Bullet points

  • 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.

Job Description

  • 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

Apply for this job

Click the Apply or LinkedIn button below or contact Christopher Fersini quoting job reference 1208148
As you are using an Apple iOS device we are unable to offer you the CV upload function. Please apply with your Linkedin profile below or contact Christopher Fersini quoting job reference 1208148