Overview
This role involves serving as Vice President, Legal Counsel, providing high-level legal administration services to meet the needs of multiple clients within the investment fund sector.
Responsibilities
- Supervise and prepare client registration statement updates and other SEC filings.
- Lead the preparation and distribution of client board and committee materials.
- Attend client board and committee meetings via telephone or in person to record notes and deliver presentations.
- Draft minutes of client board and committee meetings with review by senior attorneys.
- 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 for assigned clients.
- Maintain strong legal administration relationships with assigned clients to ensure high satisfaction.
- Supervise or prepare filings and documents for special regulatory services, including new fund/trust formation, proxy and information statements, and Form N-14, under senior attorney guidance.
- Mentor associates through coaching, instruction, and modeling effective practices.
- Participate in departmental and interdepartmental committees as requested.
- Maintain regular contact with internal departments and external vendors to meet client needs.
- Engage in direct interaction with clients and team members.
- Perform other duties as assigned.
Requirements
- Juris Doctor (J.D.) degree and membership or anticipated membership in the bar of at least one 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, peers, and subordinates.
- 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, both written and oral.
- Active listening to support open exchange of ideas.
- Ability to identify needs and obtain resources to meet goals.
- Establish and maintain effective working relationships in various situations.
- Flexibility to adjust priorities and deadlines in response to changing conditions.
Equivalent education, experience, and knowledge, skills, and abilities will be considered.