Mutual Funds Counsel

New York Permanent $180,000 - $240,000 per year
  • Top 10 retirement fund organization expanding their In-House team.
  • Fortune 1000 finance organization building its In-House legal capability.

About Our Client

Award winning financial organization specialized in retirement products. Working with a highly reputable, In-House legal team, you will provide specialist guidance on a range of legal issues including the 1940 Act.

Job Description

A varied role, working within the In-House Legal Team, as the Mutual Funds Counsel you will:

  • Provide clear and concise legal advice to business units on mutual funds, particularly focusing on 1940 Act support
  • Review regulatory filings, 1940 Act fund registration statements, proxy statements and prospectuses
  • Ensure all marketing, operational and investment matters are in compliance with various regulations pertaining to an RIA
  • Assist with fund creation, mergers and new product offerings/changes to existing products
  • Prepare materials for board meetings and attend board meetings
  • Work closely with the Managing Counsel on a wide range of special projects
  • Work directly with internal business partners

The Successful Applicant

Demonstrable qualifications/ background for the Mutual Funds Counsel:

  • JD from a top US law school
  • NY State Bar
  • 4-8 years of experience gained at a top law firm and/or in-house with a financial services company
  • Must have experience providing advice on the Investment Company Act of 1940, Investment Advisers Act and other regulatory matters pertaining to a registered investment adviser/registered funds
  • Experience advising clients on investment company disclosure matters, corporate governance and securities law
  • Experience reviewing board materials, 1940 Act Fund registration statements, proxy statements, regulatory filings and prospectuses
  • Additional experience working with life insurance, mutual funds, and insurance products is preferred
  • Excellent communication skills
  • Willing to work in-office 2-3 days per week in NYC

What's on Offer

As Mutual Funds Counsel, aside from working within a highly thought of In-House legal team you will benefit from:

  • Competitive base salary and wider compensation/ incentive plan
  • Highly competitive bonus structure
  • Hybrid working environment: 2-3 days/ week in the prestigious New York, Manhattan office and 1-2 days/ week working from home
  • Industry leading 401(k) plan
  • Comprehensive health insurance plan
  • Generous PTO
  • Healthy work/ life balance and extensive wider benefits package, well-being perks etc.
  • Fully paid parental leave
  • Excellent company culture
Anna Jacobs
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Job summary

Legal Subsector
Financial Services
New York
Contract type
Consultant name
Anna Jacobs
Job reference

About Page Executive

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