Overview
This role involves serving as Vice President, Legal Counsel, providing high-level legal administration services to multiple clients primarily in the investment management sector.
Responsibilities
Client-Focused Legal Services
- Supervise or prepare client registration statement updates and other SEC filings.
- Lead or prepare the distribution of client board and committee materials.
- Attend client board and committee meetings via telephone or in person to record notes and make presentations.
- Draft minutes of client board and committee meetings under review by a senior attorney.
- Provide clients with updates on recent regulatory developments and conduct limited regulatory research related to the Investment Company Act of 1940.
- Draft contract amendments and contracts for services provided to assigned clients, subject to senior attorney review.
- Ensure timely and accurate completion of internal compliance documents such as filing checklists.
- Maintain strong legal administration relationships with assigned clients to ensure high satisfaction.
Special Projects
- Under guidance from senior attorneys, supervise or prepare filings and documents for special regulatory services including new fund/trust formation, proxy and information statements, and Form N-14.
Leadership and Collaboration
- Mentor associates through coaching, instruction, and modeling effective legal practices.
- Participate in departmental and interdepartmental committees as requested.
- Maintain regular communication with internal departments and external vendors to meet client needs.
- Engage in direct interaction with clients and team members.
Additional duties may be assigned as needed.
Requirements
Education and Experience
- Juris Doctor (J.D.) degree.
- Membership or anticipated membership in the bar of at least one U.S. state.
- Minimum of 5 years of experience as a 1940 Act attorney.
- Demonstrated management and leadership experience.
Knowledge
- In-depth knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934.
- Familiarity with relevant securities laws.
- Proficiency with Microsoft Office Suite and Adobe Acrobat.
Skills and Abilities
- Strong oral communication skills for diverse audiences including clients, senior management, and peers.
- Client service aptitude with an understanding of legal and business needs.
- Excellent written communication skills, capable of explaining legal principles clearly.
- Legal research and analytical skills.
- Ability to align associates with organizational values and goals.
- Effective planning, delegation, motivation, and performance assessment skills.
- Capability to develop systems and procedures to improve departmental quality and efficiency.
- Creative and critical thinking for troubleshooting issues.
- Strong multitasking, analytical, organizational, and strategic skills.
- Commitment to quality, efficiency, and effectiveness.
- Personal integrity, responsibility, and accountability.
- Efficient use of resources including time and information.
- Problem-solving and decision-making participation.
- Clear and concise presentation of ideas and information.
- Active listening and support for open exchange of ideas.
- Resource identification and acquisition to meet goals.
- Ability to establish and maintain effective working relationships in various situations.
- Flexibility to adjust priorities and deadlines as needed to ensure completion.
Equivalent education, experience, and knowledge, skills, and abilities (KSAs) will be considered.
Equal Opportunity Statement
The employer is an equal opportunity organization and does not discriminate based on race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship, or any other status protected by federal, state, or local anti-discrimination laws. Employment application questions are not intended to obtain information for impermissible purposes.