Investment Management Attorney
Core
Provide legal and regulatory support to investment funds, including Board coordination, corporate law, regulatory filings, and product development compliance.
Role type
Mid-level investment management attorney (in-house)
Builds
Mutual funds, ETFs, 529 college savings plans, and separately managed account portfolios
Domain
Asset management / Investment management / Securities regulation
Deliverable
client delivery
Required skills
Investment Company Act, Investment Advisers Act, U.S. federal securities laws, regulatory filings, service provider agreements, Board meeting coordination
Preferred skills
FINRA rules, National Securities Exchanges regulations, CFTC regulations, NFA regulations, sub-advised fund structures, institutional separate accounts
Technologies
Legal research databases, Board management systems
Responsibilities
Oversee preparation and publication of Board materials; oversee corporate law matters; prepare disclosure documents and regulatory filings; draft and negotiate service provider agreements; coordinate with outside counsel; respond to shareholder and regulatory inquiries; research industry and regulatory developments
Seniority
Mid-level, hands-on IC