Associate Counsel

Duties & Responsibilities

• Draft and review registration statements, investment advisory and sub-advisory agreements, annual reports, proxy statements, and organizational documents for open-end registered funds
• Aid in the preparation of Mutual Fund Registration statements, supplements to prospectuses, and related Securities Act and SEC XBRL filings
• Responsible for assisting with regulatory filings including, but not limited to, SEC Form ADV, Forms 13F and 13H, and Schedules 13G and 13D
• Assist in the preparation of documentation for amendments, withdrawals, mergers, and dissolutions of fund series
• Assist in the preparation and execution of contracts and agreements for mutual and UCITS funds, and corporate entities
• Assist with the compiling, organizing and reviewing of agendas and materials for Board of Trustees meetings; the drafting of minutes of meetings; liaising with Board of Trustees on advisory and distribution matters
• Assist the legal and compliance departments with research on SEC, FINRA and European rules and regulations
• Corporate secretarial responsibilities for corporate entities and investment products, including state registrations and periodic filings
• Work on general corporate matters, private fund formation and financing deals

Qualifications

• JD required with superior academic credentials
• Cumulative GPA of 3.0 or above in a 4.0 scale is required
• Member of NY State Bar preferred; Member of US State Bar is required
• 1-3 years' prior experience working in-house firm or at a law firm within the asset management and/or the investment advisor industry
• Exceptionally detail-oriented and highly organized
• Demonstrated ability to work on multiple priorities at any given moment
• Strong communication skills both oral and written with persistent follow-up
• Highly ethical standards and a commitment to customer service

Skills/Competencies

• Subject matter expert in the Investment Advisor’s Act of 1940, Investment Company Act of 1940, SEC and FINRA rules, and UCITS regulations
• Required proficiency in Word, Excel, EDGAR (i.e. SEC electronic filing System)
• Strong knowledge of the fund industry and securities laws

Pay

$120,000-160,000 base salary plus discretionary bonus per performance