Senior Regulatory Counsel (Securities)
Core
Senior legal partner providing business-oriented advice on securities law and regulatory matters for ProShares' ETFs, commodity pools, and mutual funds.
Role type
Senior Director, Counsel (Securities)
Builds
Registered securities offerings (ETFs, commodity pools, interval funds, mutual funds) and regulatory compliance for public markets.
Domain
Asset Management / Securities Law / Financial Regulation
Deliverable
client delivery
Required skills
Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, commodities regulation, registration statements, prospectuses, SEC/CFTC/NFA/FINRA engagement, fund service provider agreements
Preferred skills
Issuer representation, SEC experience, corporate transactions (M&A/reorganizations)
Technologies
None
Responsibilities
Deliver timely legal counsel to senior management; structure and launch registered securities offerings; prepare and maintain registration statements and periodic reports (10-K, 10-Q); oversee communications with regulators (SEC, CFTC, NFA, FINRA); draft and negotiate agreements with fund service providers; manage outside counsel.
Seniority
Senior Director, hands-on IC with strategic ownership
