Description:

A Financial Services Company is seeking a licensed attorney with experience working with the Investment Company Act of 1940 and related securities laws and regulations to join our legal team. The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.

Candidates will ideally have experience practicing with a law firm, mutual fund, closed-end, or ETF complex, fund servicing organization, investment advisory firm, or applicable regulatory agency dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance, and practices.

Regulatory Administration Duties:

Draft, review, and prepare registration statements for new products or annual updates to fund registration statements;
Ensure timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings;
Communicate with the U.S. Securities and Exchange Commission (“SEC”) and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients;
Prepare agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes; and
Serve as a legal resource by providing guidance on issues concerning regulated investment companies, investment advisors, and related entities, including regulatory compliance and co-investment issues.
In addition, the position may prepare and participate in webinars/calls on regulatory updates to Fund Services' clients, work on departmental projects and other tasks as assigned.

Requirements:

Law degree
5 or more years of experience working with the Investment Company Act of 1940 and related securities laws and regulations
Knowledge of closed-end fund laws and regulations, mutual fund, business development companies and ETF knowledge a plus
Excellent verbal and written communication skills
Ability to manage multiple tasks simultaneously in a deadline driven environment as well as contribute to department and organizational special projects
Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable
Strong attention to detail
Experience managing or supervising the work of other 1940 Act professionals or legal support staff