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Job Requirements of Legal Counsel - 40 Act:
JD from US law school, admission to NY State Bar, experience in-house or at a top firm with expertise in registered funds, 40 act and IA Act.Do you meet the requirements for this job?
Legal Counsel - 40 Act
The Senior Legal Counsel will be responsible for handling legal matters pertaining to registered investment companies. This role requires expertise in the Investment Company Act of 1940, the Investment Advisers Act.
Client Details
Financial services client.
Description
The Senior Legal Counsel will work closely with other members of the legal team, advising the business on the following legal matters:
- Provide clear and concise legal advice to registered investment companies on a wide range of registration work, product development, transactions, marketing review, particularly focusing on 1940 Act support
- Review regulatory filings, '40 Act fund registration statements, proxy statements and prospectuses
- Ensure all marketing, operational and investment matters are in compliance with various regulations pertaining to registered investment companies
- Advise on private placements, securities, derivatives and transactional general corporate legal matters
- Assist with fund creation, mergers and new product offerings/changes to existing products
- Prepare materials for board meetings and attend board meetings
- Work closely with the legal team a wide range of special projects
- Work directly with internal business partners
Please apply today to have your resume considered within 24 hours.
Profile
- JD from a top US law school
- US State Bar Admission
- 4+ years of experience gained at a top law firm and/or in-house with a financial services company must have experience providing advice on the Investment Company Act of 1940, Investment Advisers Act and other regulatory matters pertaining to a registered investment adviser/registered funds
- Experience advising clients on investment company disclosure matters, corporate governance and securities law
- Experience reviewing board materials, '40 act fund registration statements, proxy statements, regulatory filings and prospectuses
- Excellent communication skills
Job Offer
- Competitive base salary
- Highly competitive bonus structure
- Industry leading 401(k) match
- Benefits package
- PTO
- Additional benefits and perks
- Hybrid working environment
- Excellent company culture
Page Group USA is acting as an Employment Agency in relation to this vacancy.
Job Requirements: