4 дня назад
Corporate Counsel (Securities Law)
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Corporate Counsel (Securities Law): Advising on registered investment companies, including mutual funds and ETFs, through fund disclosures, product development, shareholder communications, and SEC filings with an accent on securities law, regulatory compliance, and investment product governance. Focus on drafting prospectuses and registration statements, responding to SEC comments, analyzing regulatory developments, and overseeing proxy and shareholder reporting requirements.
Location: Hybrid position based in the Kansas City, Missouri office; employees must attend the office on a scheduled frequency.
Company
is a privately owned global asset manager focused exclusively on investment management across equities, fixed income, multi-asset strategies, ETFs, and private investments.
What you will do
- Draft, review, and maintain Form N-1A registration statements, summary prospectuses, statutory prospectuses, and Statements of Additional Information.
- Prepare prospectus and SAI supplements and support accurate, timely regulatory disclosures.
- Partner with Investment Management, Compliance, Product Development, and other teams on investment product development, launches, and ongoing management.
- Prepare and review shareholder reports and SEC filings, including Forms N-CSR and N-CEN.
- Draft proxy materials and provide legal oversight for shareholder meetings and proxy solicitations.
- Advise on fund disclosures, investment policies, regulatory developments, and SEC comments and inquiries.
Requirements
- Juris Doctor degree from an accredited law school and active membership in good standing with at least one state bar.
- At least 1.5 years of legal practice experience, preferably in financial services, investment management, a broker-dealer, an investment adviser, or a law firm.
- Experience advising on securities laws, regulations, and compliance matters, including familiarity with the Securities Act of 1933 and Securities Exchange Act of 1934.
- Strong analytical, organizational, project management, written communication, and verbal communication skills.
- Ability to manage multiple priorities independently in a deadline-driven environment and collaborate with stakeholders at all levels.
- Must be authorized to work in the United States without visa sponsorship now or in the future.
Nice to have
- Experience supporting mutual funds, ETFs, registered investment companies, or other investment products.
- Familiarity with the Investment Company Act of 1940 and related regulatory requirements.
- Experience drafting fund disclosure documents or interacting with SEC staff and other financial regulators.
- Knowledge of fund boards, governance matters, shareholder communications, or the asset management industry.
Culture & Benefits
- Competitive compensation package with a bonus plan.
- Generous paid time off and competitive benefits.
- 401(k) with a 5% company match and an annual performance-based discretionary contribution.
- Tuition reimbursement, formal mentorship, and live and online learning opportunities.
- Collaborative, client-focused, accountable, curious, and adaptable working environment.
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