ASSOCIATE COUNSEL / COUNSEL (remote)
We are seeking an experienced 1940 Act Attorney to join the legal group for a growing registered fund services business. In this Associate Counsel/Counsel role, this individual will report directly to the General Counsel and assist in the oversight of multiple clients including mutual funds, exchange-traded funds (ETFs), closed-end funds (CEFs), and private funds.
The Associate Counsel/Counsel will be a critical member of the legal administration team, working with in-house paralegal staff and outside fund counsel to oversee the firm’s client funds.
The Associate Counsel/Counsel should have working knowledge of and experience with the Investment Company Act of 1940 as well as some familiarity with the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934.
The legal administration team handles a variety of fund tasks and projects which the candidate would be responsible for assisting with, including, but not limited to:
- Prepare/Assist in the preparation of materials for board meetings for multiple clients, including drafting/reviewing meeting materials, meeting minutes, and other documentation;
- Prepare/Assist in the preparation of registration statement updates and other SEC filings;
- Oversee and maintain the regulatory and compliance calendars;
- Assist with the internal and fund compliance programs;
- Prepare contracts and contract amendments for client services;
- Interact with SEC staff regarding fund filings, examinations, etc.
- Research issues regarding the 1940 Act and other mutual fund regulations, as needed;
- Review fund advertising and coordinate with distributor staff to make filings with FINRA.
Ideal candidates will have 3 to 5 years legal experience in a mutual fund servicing organization, a mutual fund complex or the investment management practice of a law firm. A J.D. and membership in the bar of at least one state are required.
The selected candidate will exhibit the following personality traits:
- Intelligent, energetic, and goal-oriented;
- Ability to organize, prioritize and manage multiple projects and tasks in a fast-paced environment;
- Candidate will be required to engage in regular direct interaction with Trustees, outside counsel, internal and external clients, and vendors;
- Attention to detail with a drive to get something right, not just out the door;
- Ability to work both individually and within a team environment;
- Excellent verbal and written communication skills.
We pride ourselves on a strong family-like, team-oriented culture and pleasant, relaxed working atmosphere with the ability to work remotely or in the office. Nottingham offers a competitive benefit package and the ability to grow and advance.