Job Description:

Our client, a well regarded midsized investment management firm, seeks to add an Attorney to their legal team. The Associate Counsel will work closely with the Chief Legal Officer regarding a broad array of legal matters including, but not limited to, the following:

Duties & Responsibilities:

  • Assist attorneys in the preparation of documentation for amendments, withdrawals, mergers, and dissolutions of mutual fund series and corporate entities
  • Registration statements, board materials, and shareholder correspondence.
  • The Associate Counsel will be responsible for providing support in the drafting, editing, revising, and reviewing of legal documents.
  • Assist in the preparation and execution of contracts and agreements for mutual funds and corporate entities
  • Aid in the preparation of Mutual Fund Registration statements, supplements to prospectuses, and related Securities Act and XBRL filings
  • Compile, organize and review agendas and materials for Board of Trustees meetings; draft minutes of meetings; liaise with Board of Trustees on advisory and distribution matters
  • Review annual and semi-annual shareholder reports
  • Assist legal and compliance with SEC and FINRA requirements
  • Organize and maintain fund related electronic filings
  • Prepare and file 13F, 13G and 13H filings
  • Prepare and maintain corporate minutes book; draft consents and minutes
  • Prepare and review Trustee and Officer Questionnaires
  • Perform due diligence
  • Monitor and review government regulations so the company is up-to-date
  • Perform legal research using the internet and other resources
  • Will also work on additional projects/duties as assigned 


  • Cumulative GPA of 3.0 or above in a 4.0 scale is required
  • JD required with superior academic credentials
  • 3+ years’ prior experience, preferably working with Mutual Funds or in the Asset Management industry
  • Experience with annual report reviews a plus
  • Exceptionally detail-oriented
  • Demonstrated ability to work on multiple priorities at any given moment
  • Strong communication skills both oral and written with strong follow-up
  • Position requires the ability to work well independently and as part of a team, under pressure, and to demonstrate resourcefulness in problem solving
  • Strong writing skills
  • Strong organizational skills
  • Required proficiency in Word, Excel, EDGAR (i.e. SEC electronic filing System)
  • Knowledge of the mutual fund industry and securities laws

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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