Description:
Role Overview:Supports fund governance and registration matters. Serve as fund secretary for ALPS-sponsored funds and provide legal administration services for third party clients. Prepare and negotiate service and vendor agreements.
Responsibilities:
- Advise on investment adviser, mutual fund, ETF and closed-end fund legal issues.
- Prepare and oversee various mutual fund, ETF and closed-end fund regulatory filings with the U.S. Securities and Exchange Commission, including registration statements on Form N-1A and Form N-2.
- Prepare and oversee annual shareholder meetings for clients, including filing proxy statements with the U.S. Securities and Exchange Commission.
- Prepare and review fund advisory, sub-advisory, custodian, transfer agency, fund accounting, administration and distribution agreements.
- Prepare board meeting materials for '40 Act fund boards of directors/trustees and attend board meetings.
- Monitor and report on regulatory developments.
- Other duties as assigned from time to time.
Qualifications:
- Juris Doctorate
- 3-8 years' experience at a law firm or financial services firm advising on the Investment Advisers Act, Investment Company Act of 1940 and other federal securities laws
- Advanced knowledge of the Investment Advisers Act, Investment Company Act of 1940 and other federal securities laws.
- Ability to advise on '40 Act fund service provider contracts.
- Ability to draft contract terms.
- Ability to manage multiple tasks simultaneously.
- Ability to work with little supervision.
- Advanced computer skills, including Microsoft Office (i.e., Word, Excel, PowerPoint, etc).
- Excellent verbal and written communication skills with strong ability to communicate with internal and external clients.
Compensation: The compensation range for this position is $115,000 to $180,000. (This position is eligible to participate in a company bonus plan and stock program].
Benefits: SS&C offers a comprehensive benefits package including: Medical, Dental & Vision; HSA & FSA; Life & Disability; Accident, Hospital & Critical Illness; Flexible, Sick and Holiday Paid Time Off; 401(k) with Company Match; Employee Assistance Plan; Education Assistance; Professional Development and Employee Discounts.
