Assistant General Counsel - Mutual Funds

Assistant General Counsel – Mutual Funds

Bachelor’s degree and JD required
Member of New York state bar (or the ability to waive in)
At least 4 years of experience working with U.S. registered funds and the Investment Company Act of 1940 at a major U.S. law firm or with an in-house legal department
Capable of working independently but with ability to recognize when to seek guidance in complex situations
Pro-active approach with the ability to engage with and communicate effectively with senior management

Providing ongoing advice with respect to structuring and maintaining registered investment vehicles, including the preparation and on-going review of registration statements
Advising a variety of internal business clients, including portfolio managers, marketing and sales personnel on a variety of legal and regulatory matters associated with current and proposed business and operational initiatives
Ensuring productive relationships with regulators and internal and external clients and boards of trustees/directors by demonstrating superior responsiveness and client service
Preparing materials for boards of trustees/directors on a variety of routine and ad hoc legal and compliance matters
Drafting and negotiating various contracts, including: (i) investment management agreements; (ii) intermediary distribution and servicing agreements; (iii) non-disclosure agreements; and (iv) agreements with various service providers
Keeping abreast of new regulatory developments and acting as a liaison in implementation of rules and regulations
Reviewing marketing materials and other client communications, including client information requests and requests for proposals
Adjusting job responsibilities to accommodate changing priorities while managing multiple requirements and timelines

Experience working with boards of trustees/directors of U.S. registered products strongly preferred
Experience working on intermediary relationships for U.S. registered products a plus