Mutual Funds Counsel

New York Permanent USD180,000 - USD240,000 per year Hybrid working
  • Top 10 retirement fund organization expanding their In-House team.
  • Fortune 1000 finance organization building its In-House legal capability.

About Our Client

Award winning financial organization specialized in retirement products. Working with a highly reputable, In-House legal team, you will provide specialist guidance on a range of legal issues including the 1940 Act.

Job Description

A varied role, working within the In-House Legal Team, as the Mutual Funds Counsel you will:

  • Provide clear and concise legal advice to business units on mutual funds, particularly focusing on 1940 Act support
  • Review regulatory filings, 1940 Act fund registration statements, proxy statements and prospectuses
  • Ensure all marketing, operational and investment matters are in compliance with various regulations pertaining to an RIA
  • Assist with fund creation, mergers and new product offerings/changes to existing products
  • Prepare materials for board meetings and attend board meetings
  • Work closely with the Managing Counsel on a wide range of special projects
  • Work directly with internal business partners

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Demonstrable qualifications/ background for the Mutual Funds Counsel:

  • JD from a top US law school
  • NY State Bar
  • 4-8 years of experience gained at a top law firm and/or in-house with a financial services company
  • Must have experience providing advice on the Investment Company Act of 1940, Investment Advisers Act and other regulatory matters pertaining to a registered investment adviser/registered funds
  • Experience advising clients on investment company disclosure matters, corporate governance and securities law
  • Experience reviewing board materials, 1940 Act Fund registration statements, proxy statements, regulatory filings and prospectuses
  • Additional experience working with life insurance, mutual funds, and insurance products is preferred
  • Excellent communication skills
  • Willing to work in-office 2-3 days per week in NYC

What's on Offer

As Mutual Funds Counsel, aside from working within a highly thought of In-House legal team you will benefit from:

  • Competitive base salary and wider compensation/ incentive plan
  • Highly competitive bonus structure
  • Hybrid working environment: 2-3 days/ week in the prestigious New York, Manhattan office and 1-2 days/ week working from home
  • Industry leading 401(k) plan
  • Comprehensive health insurance plan
  • Generous PTO
  • Healthy work/ life balance and extensive wider benefits package, well-being perks etc.
  • Fully paid parental leave
  • Excellent company culture
Anna Jacobs
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Job summary

Sub Sector
General Counsel - In-house
Financial Services
New York
Contract Type
Consultant name
Anna Jacobs
Job Reference
Job Nature
Hybrid working