September 21, 2016

Associate Counsel

The Compliance Search Group - New York, NY

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Job Description


Our client, a well respected, long established money management firm seeks an Associate Counsel to join their team. The Associate Counsel will aid the Chief Legal Officer and the SVP, Assistant General Counsel with 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 attorneys in the preparation of documentation for amendments, withdrawals, mergers, and dissolutions of mutual fund series and corporate entities
* 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


* UndergraduateDegree or an equivalent combination of training and experience
* 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