AVP, Mutual Fund Attorney

Overview

A financial services organization is seeking two Attorneys (AVP, Counsel) to join its mutual funds legal practice. One attorney will primarily focus on regulatory disclosures and registration statements, while the other will concentrate on board governance, including board materials and meeting minutes. This is a remote opportunity.

The ideal candidates will have a minimum of four years of experience advising on matters arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. The role involves providing legal advice and oversight for mutual funds, affiliated service providers (including advisers and distributors), and the funds’ Board of Trustees with a high degree of independence and accountability.

Responsibilities

• Analyze issues arising under federal securities laws and provide practical legal advice to business partners.
• Assist in the oversight of regulatory disclosures, filings, and interactions with the Securities and Exchange Commission.
• Provide legal support for management’s work with the Board of Trustees.
• Assist in the oversight and conduct of Board meetings.
• Prepare and/or lead the preparation of Board memoranda, resolutions, minutes, service provider contracts, and fund charter documents.
• Support management’s compliance function and related governance activities.

Requirements

• Bachelor’s degree and Juris Doctor required.
• Minimum of four years of legal experience, preferably in the legal department of an investment management organization or in a securities or transactional practice focused on investment products and regulation.
• Strong relationship-management skills and ability to work effectively across all levels of the organization.
• Proven ability to deliver clear, concise, and well-organized legal advice and written work.
• Strong oral, written, and presentation skills.
• Ability to effectively oversee and collaborate with paralegals and other legal professionals.
• Proficiency in Microsoft Office (Word, Excel, PowerPoint), Outlook, and remote collaboration platforms such as Teams and Zoom.
• Reliable, self-directed, detail-oriented, and able to manage multiple priorities and deadlines.

Compensation & Benefits

• Annual base salary range: $145,600 - $182,000 USD.
• Incentive opportunities including annual cash incentives, sales incentives, and/or long-term incentives based on role and performance.
• Health, dental, vision, and life insurance plans.
• 401(k) savings plan with company matching contributions up to 6%.
• Employer-paid cash balance retirement plan (4%).
• Tuition reimbursement up to $5,250 per year.
• Paid time off including 20 days PTO, nine paid company holidays, and a flexible Diversity Celebration Day.
• Paid volunteer time: 40 hours per calendar year.

Location

This is a remote position.