Description:
Summary:Associate Counsel will work with Associate General Counsel, Associate Counsel, paralegals and other staff to provide legal support for the firm's U.S. registered funds, sub-advisory relationships and other retail products, including separately managed accounts and model-based programs. Will work closely with senior management and other teams across the firm including fund administration and compliance and will handle regulatory issues and general legal matters. A Listed Real Assets Investment Management Company is committed to an inclusive culture, valuing diversity in support of our people and clients.
Major Responsibilities/Activities:
- Provide legal advice and support on issues relating to the firm's U.S. registered open- and closed-end funds, retail separately managed accounts, model-based programs and sub-advisory relationships with particular emphasis on contracts, distribution, product development, marketing and sales practices.
- Assist in preparation of materials for board meetings; attend board meetings and draft minutes.
- Draft organizational documents, board actions, investment management agreements and service provider contracts.
- Handle regulatory issues, general legal matters and work closely with the compliance and fund administration team.
- Preparation and filing of annual prospectus updates and draft registration statements for new funds; oversee all other required 1940 Act filings.
- Review and negotiate distribution agreements with fund intermediaries.
- Work closely with senior management.
Minimum Requirements:
- Attorney with top credentials, at least 4-8 years of related experience in-house, regulatory, or leading law firm required.
- Has detailed knowledge of securities laws applicable to registered investment companies including the Investment Company Act of 1940.
- Experience with the following:
- Mutual Funds, [Closed-end Funds] and other registered funds
- Legal issues relating to asset management
- Negotiating and drafting contracts
- Intelligent, bright, conceptual thinker and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas.
- Outstanding reputation of professional integrity and have the potential to be immediately, personally credible within the organization and in the investment and client communities.
- Hardworking with an ability to multi-task in a dynamic work environment
- An independent entrepreneurial self-starter with the ability to get things done.
- Excellent communications and presentation skills.
- Consensus builder and team player [with the ability to work well within an organization].
- Cultural skills and sensitivities to work effectively in a global organization.
- Law degree required.
- Demonstrates inclusive behaviors in support of a culture that values diverse perspectives.
- Knowledge of securities laws applicable to registered investment advisers including the Investment Adviser's Act of 1940.
- Experience with the following:
- Exchange-traded Funds
- Closed-end Funds
- Separately managed accounts and model-based programs
- Sub-advisory relationships
- Compliance
- ISDA Master Agreements and other ancillary documentation for derivatives business
- Issues faced by Broker/Dealers
Note: This job description reflects management's assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. The job title or duties and responsibilities may be changed by the Company at any time.
