1940 Act Attorney supporting fund clients with regulatory filings and communication with the SEC. Drafting necessary documents and serving as a resource on investment company regulations.
Responsibilities
Support fund clients through preparation of registered investment company regulatory filings
Draft, review and prepare fund registration statements to be filed with the SEC
Draft, review and prepare supplements, exchange listing applications, exemptive relief applications, proxy statements and related filings for the SEC
Communicate with the SEC and other regulatory agencies on behalf of fund clients
Prepare agendas, resolutions, agreements, policies and procedures for investment company board meetings and related minutes
Serve as a resource on regulations and industry developments for fund clients
Requirements
Law Degree
Licensed to practice in the applicable jurisdiction
10 or more years of related experience
Advanced understanding of investment company regulations
Excellent verbal and written communication skills with strong attention to detail
Excellent research 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 proficiency in computer skills, specifically including document preparation and review in Word or similar applications; strong knowledge of Excel, Outlook and Teams
Benefits
Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
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