Title: Mutual Fund Attorney
Up to $150,000 Package
Company: Investment Management - Mutual Fund Company (in Washington D.C. area)
Type: Full-time, Permanent
Position Summary:
Must have S.E.C. Registration experience preferably three to seven years post J.D. with 1940-Act experience in current position, or in past.
Position will work with Legal Department on legal support matters for affiliated entities, including mutual funds advised by the Company and future investment companies organized as affiliated fund companies. The focus of the role will be to support 1940 Act Fund activities and will be largely responsible for owning the registration process, and other legal processes as assigned.
Required Education and Experience:
Experience required to fill this position should include familiarity with Mutual Funds and Mutual Fund regulation. Prefer candidates with the following specific requirements:
Must have current and recent experience over the last 3+ years working within the mutual fund/financial services industry
Up to 7+ years of Law Firm or in-house Paralegal experience
Knowledge and experience with Investment Company Act of 1940 and Securities Act of 1933 is required
Paralegal certification a plus
Knowledge of Mutual Fund Operations
Responsibilities include:
1. Drafting, reviewing and updating of regulatory materials, including registration statements and exemptive applications.
2. Handle aspects of registration statement process, including process enhancement and coordinating the printing of prospectuses and supplements.
3. Maintain master Legal Department calendar, including regulatory filings, board meetings and other non-routine projects.
4. Responsible for Legal Department document management and electronic files of regulatory materials.
5. Develop and maintain electronic reference library.
6. Oversight with respect to board meetings and the preparation of board materials including developing and maintaining pre- and post meeting processes.
7. Maintain and enhance project lists with respect to third party service providers to the Affiliated Funds.
8. Project management and manage special projects.
9. Draft initial registration statements for new funds
10. Manage contract authorization and negotiation process
11. Manage process related to contract terms and commitments
12. Maintain due diligence records for Sarbanes Oxley Process
13. Maintain legislative initiatives and update manuals
14. Update registration statement filing process (Maintain comment file and maintain binder of SEC response letters)
15. Document 497 filing process
16. Maintain master fund list in coordination with BISYS Legal Admin
17. Prepare and maintain Business Summary for Board meeting
18. Oversee authorized participant ETF handbook updates and dissemination
19. Oversee ISDA Master Agreement process and related documentation
20. Legal accounts payable administration
21. Other duties as assigned
Apply by Email with Resume and Cover Letter:
Stuart@RosenthalRecruiting.com
Website:
http://RosenthalRecruiting.com
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