Associate Legal Counsel

Overview

The Associate Legal Counsel provides legal administration services to support the basic legal needs of multiple clients.

Responsibilities

• Prepare client registration statement updates.
• Prepare other client SEC filings.
• Prepare and distribute all client board and committee materials.
• Attend board and committee meetings by telephone; attend in person if requested by a client, and record meeting notes.
• Draft minutes of client board and committee meetings.
• Provide client updates on recent regulatory events and conduct basic regulatory research related to the Investment Company Act of 1940 (without providing legal conclusions).
• Draft contract amendments for services provided to assigned clients.
• Complete internal compliance-related documents for assigned clients, including filing checklists, accurately and in a timely manner.
• Maintain a strong Legal Administration relationship with each assigned client and support high client satisfaction.
• Prepare relevant filings and documents for special regulatory add-on services, including building of new funds/trusts, proxy and information statements, and Form N-14.

Working Relationships

• Mentor associates through instruction, coaching, real-time on-the-job experience, modeling effective practices, and advising on methods used.
• Serve on departmental committees, as requested.
• Maintain regular contact with internal departments and external vendors/relationships to support assigned client needs, as appropriate.
• Interact directly with team members and, on a limited basis, with clients.
• Perform other duties as required and assigned.

Education & Experience

• J.D. and membership (or anticipated membership) in the bar of at least one state.
• 0–3 years of experience as a 1940 Act attorney.

Knowledge

• Investment Company Act of 1940
• Investment Advisers Act of 1940
• Securities Act of 1933
• Securities Exchange Act of 1934
• Relevant securities laws
• Microsoft Office Suite
• Adobe Acrobat

Skills & Abilities

• Client service skills with an aptitude for understanding clients’ basic legal needs and relating them to business needs.
• Strong written communication skills, including the ability to explain legal principles in “plain English.”
• Legal research skills and an aptitude for legal analysis.
• Ability to plan and delegate work, motivate and inspire others, and assess performance of self and associates to improve or take corrective action.
• Ability to plan and develop systems and procedures to improve operating quality and efficiency in accordance with company policies and procedures.
• Troubleshoot issues using creative and critical thinking.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, and meticulous approach with commitment to quality, efficiency, and effectiveness.
• Demonstrate personal integrity, responsibility, and accountability.
• Effectively use resources such as time and information with associates.
• Participate in solving problems and making decisions.
• Present and express ideas and information clearly and concisely, written and oral.
• Actively listen to support an open exchange of ideas and information.
• Identify needs, arrange for, and obtain resources to accomplish individual and department goals.
• Establish and develop effective working relationships with associates and clientele in favorable and unfavorable situations.
• Adjust team and individual priorities and deadlines based on added information, changing conditions, or unexpected obstacles while ensuring completion.

Compensation & Benefits

• Not specified in the provided description.

Location

• Not specified in the provided description.