40 Act In-house Counsel

‘40 Act In-house Counsel

 

The yoke of billable hours weighing on you?

 

Our client is seeking a seasoned Attorney to join the Corporate Legal  and Regulatory  Practice supporting a broad array of business lines and corporate functions.  This practice provides  full secretarial and regulatory services to a variety of mutual fund complexes including open-end mutual funds, closed-end funds, ETFs, publicly-traded partnerships and offshore funds.  Reporting to the Sr. Legal Counsel, you will have responsibility for client relationships, including preparing board materials and attending meetings as our client’s representative, and preparing various regulatory filingsCounsel will be directly responsible for several client relationships;Prepare mutual fund board and committee meeting materials, registration statements, proxy statements, N-CSRfilings,8-Ks and other regulatory filings and oversee the preparation of the same materials by associate counsels and paralegals;Review and assist with filing of mutual fund advertising and sales literature;Attend mutual fund board and committee meetings, take minutes and make presentations (such as providing regulatory updates) as necessary;Act as liaison with fund management, client counsel, fund counsel, independent trustee counsel and auditors;

REQUIREMENTS:JD required; Massachusetts bar license requiredMinimum of 5+ years securities law practice required; preferably with 1940 Act and/or 1933 and 1934 Acts Mature and confident demeanor to successfully interact with sophisticated senior level clients such as CEOs and  boards of TrusteesExcellent written and verbal communication skillsDemonstrable direct client relationship experienceA solution driven motivation Some travel required

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Bill Macdonald

James L Dooley & Assocs.

bmacdonald@theheadhunter.com