Legal Counsel
Core
Provide practical, business-focused legal guidance on registered investment products, regulatory matters, and public disclosures for mutual funds, closed-end funds, and ETFs.
Role type
In-house Legal Counsel (Securities/Investment Funds)
Builds
Fund registration statements, shareholder reports, proxy materials, SEC filings, and public disclosure materials.
Domain
Financial Services / Investment Management / Securities Law
Required skills
Securities law expertise, SEC filing experience, regulatory disclosure management, contract negotiation, project management, legal writing, stakeholder communication
Preferred skills
Major law firm or regulatory agency experience, asset management in-house experience, engagement with SEC staff
Technologies
SEC Forms (N-1A, N-2, N-14, Schedule 14A, N-CEN, N-PORT, N-PX), Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934
Responsibilities
Oversee preparation and review of fund registration statements and SEC filings; manage product line changes, fund mergers, and reorganizations; prepare shareholder proxy materials and reports; provide legal advice on regulatory implementation and corporate initiatives.
Seniority
Mid-level, hands-on IC
