General Counsel

We are seeking an experienced 1940 Act / Regulatory Administration Attorney to lead the legal group for a growing registered fund services business. In this Internal Counsel role, this individual will oversee an investment company complex with a strong presence administering mutual funds, exchange-traded funds (ETFs), closed-end funds (CEFs), and private funds.

The Internal Counsel will lead the complex’s legal administration team, working with in-house paralegal staff and outside fund counsel to oversee the firm’s client funds.

The Internal Counsel should have knowledge of and experience with the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934. A focus on registered investment companies is preferred.

The legal administration team handles a variety of fund tasks and projects which the candidate would be responsible for overseeing, including, but not limited to:

Planning and leading quarterly board meetings for multiple series trusts, including reviewing and drafting meeting materials, board meeting minutes, corporate resolutions, and corporate governance documentation;
Preparation and filing of both initial and regular fund documents, such as registration statements, proxies, and exemptive applications;
Assistance with the internal and fund compliance programs;
Interaction with SEC staff regarding fund filings, examinations, etc;
Researching issues regarding the 40 Act and other mutual fund regulations, as needed;
Review of fund advertising and coordination with distributor staff to make filings with FINRA.

Ideal candidates will have 5 to 8 years legal experience in a mutual fund servicing organization, a mutual fund complex or the investment management practice of a law firm.

The selected candidate will exhibit the following personality traits:

Intelligent, energetic, and goal-oriented
Entrepreneurial, independent self-starter with a thirst for knowledge and a desire to create a successful Regulatory Administration group with high standards;
Ability to prioritize and manage a departmental team, many projects, multiple tasks in a fast-paced environment;
Willingness to challenge, in a constructive way, not just for the sake of arguing;
Exceptional interpersonal and consensus building skills coupled with a cooperative attitude – whether outgoing or reserved – Candidate will be required to facilitate direct interaction with Trustees, outside counsel, internal and external clients, and vendors;
Attention to detail with a drive to get something right, not just out the door;
Excellent verbal and written communication skills.