- Review and support the preparation of fund prospectuses, statements of additional information, and supplements for the company's mutual funds and ETFs, including drafting new disclosures and working with outside counsel on registration statement matters.
- Prepare and review materials, including minutes, for, and attend, meetings of the Boards of Trustees of our client's mutual funds and ETFs.
- Review financial statement disclosure for mutual funds and ETFs.
- Assist with the annual 15(c) process for mutual funds and ETFs.
- Assist with regulatory and business change initiatives.
- Advise and draft agreements for the mutual funds and ETFs.
- Maintain and foster a strong culture of compliance.
- Carry out other duties as assigned.
- JD from an accredited law school, with admission to at least one state bar.
- 2-5 years of relevant experience within a law firm or financial services company.
- Knowledge and understanding of the Investment Company Act of 1940.
- Strong analytical, organizational, and communication skills.
- Excellent attention to detail.
- Ability to exercise sound legal judgment balanced with business needs.
- Ability to prioritize across a wide range of work and to demonstrate a strong sense of urgency.
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Legal Counsel - Denver, United States - SymphonicHCM
Description
Our financial services client in Cherry Creek, CO, is seeking a full-time Associate-level Legal Counsel to join their team. This role will be critical in advising the business on matters related to the Investment Company Act of 1940, and so if you have at least 2 years of legal experience and strong knowledge of the 1940 Act, we'd love to chat
*Hybrid position - 3 days per week in the office
*Relocation assistance available
*No third parties please
YOUR Why
This role is critical for the day-to-day legal support for business partners across our client's business, using your experience and expertise with the Investment Company Act of 1940 to guide decision-making across the company. You will review and support the creation and drafting of fund prospectuses, financial statement disclosures, and any additional supplements for mutual funds and ETFs. This opportunity has regular exposure to senior executives, including the Board of Trustees, and the incumbent will have an excellent opportunity for learning and professional development in this role.
How YOU Will Spend YOUR Days
What YOU Bring
