Associate General Counsel - Mutual Funds

Responsibilities

• Providing ongoing advice with respect to structuring and maintaining registered investment vehicles, including the preparation and on-going review of registration statements
• Advising a variety of internal business clients, including portfolio managers, marketing and sales personnel on a variety of legal and regulatory matters associated with current and proposed business and operational initiatives
• Ensuring productive relationships with regulators and internal and external clients and boards of trustees/directors by demonstrating superior responsiveness and client service
• Preparing materials for boards of trustees/directors on a variety of routine and ad hoc legal and compliance matters
• Drafting and negotiating various contracts, including: (i) investment management agreements; (ii) intermediary distribution and servicing agreements; (iii) non-disclosure agreements; and (iv) agreements with various service providers
• Keeping abreast of new regulatory developments and acting as a liaison in implementation of rules and regulations
• Reviewing marketing materials and other client communications, including client information requests and requests for proposals
• Adjusting job responsibilities to accommodate changing priorities while managing multiple requirements and timelines

Requirements

• Bachelor’s degree and JD required
• Member of New York State Bar (or the ability to waive in)
• At least 5 years of experience working with U.S. registered funds and the Investment Company Act of 1940 at a major U.S. law firm or with an in-house legal department
• Mutual Funds/ 1940 Act experience required
• Experience working with boards of trustees/directors of U.S. registered products strongly preferred
• Experience working on intermediary relationships for U.S. registered products a plus
• Capable of working independently but with ability to recognize when to seek guidance in complex situations
• Pro-active approach with the ability to engage with and communicate effectively with senior management