Senior Legal Counsel

Our client is currently seeking a Senior Legal Counsel within their Corporate Secretary and Regulator Support Practice which is part of the Investor Services and Markets Business Line. The Corporate Secretary and Regulatory Support Practice provides full service corporate secretarial and regulatory support services to a variety of mutual fund complexes including open-end mutual funds, closed-end funds, ETF's, publicly-traded partnerships and offshore funds. Reporting to Legal Counsel, candidate will have responsibility for client relationships, including preparing board materials and attending meetings as our client's representative, and preparing various regulatory filing including registration statements, N-CSRs and 8-Ks.

 

Major Responsibilities:

 Senior Legal Counsel will be directly responsible for several client relationships

 Provide corporate secretary and regulatory support to a variety of mutual fund clients

 Prepare board and committee meeting materials, registration statements, proxy statements, N-CSR filings, 8-Ks and other regulatory filings and oversee the preparation of the same materials by 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;

 Provide counsel with respect to compliance policies and procedures;

 Analyze proposed and final rule changes and prepare summaries and analyses for internal and external use;

 Support senior counsel and counsel in providing effective legal counsel to various business lines, with a primary focus on Fund Administration with Investor Services;

 Support Investor Services sales team in building legal administration business through presentation of Corporate Secretary and Regulatory Support services to clients and prospective clients;

 

Requirements:

 JD required; Massachusetts bar license required

 Minimum of 3-5 years securities law practice required; preferably with 1940 Act and/or 1933 and 1934 Acts

 Kindly contact Dan Landerfin at (617) 262-1313 or Dan@MacPherson-Group.com