Investment Services Associate Attorney

A law firm in Chicago, IL, is seeking an Investment Services Associate Attorney with 4-7 years of experience in working with registered investment companies, investment advisers, and regulatory and compliance matters related to federal securities laws. The ideal candidate will have the ability to play a leading or key role in transactions, particularly those related to investment company reorganizations or mergers, and possess experience with mutual funds, exchange-traded funds (ETFs), closed-end funds, and independent trustees and directors. The candidate should have a J.D. degree with strong academic credentials and be admitted to (or in the process of becoming admitted to) the applicable jurisdiction.

Duties:

• Lead or play a key role in transactions involving investment company reorganizations, mergers, and other significant business activities.
• Provide legal advice and support related to mutual funds, ETFs, closed-end funds, and matters involving independent trustees and directors.
• Manage multiple matters simultaneously, ensuring timely and effective resolution of complex legal issues.
• Draft, review, and negotiate transaction documents, including fund formation and registration documents.
• Advise clients on regulatory and compliance matters under federal securities laws, including the Investment Company Act of 1940 and the Securities Act of 1933.
• Conduct legal research and analysis to support regulatory compliance and transactional activities.
• Collaborate with clients and internal teams to develop and implement legal strategies that align with business goals.
• Maintain up-to-date knowledge of developments in securities laws and regulations affecting investment services.

Requirements:

• 4-7 years of experience working with registered investment companies, investment advisers, and related regulatory and compliance matters.
• Ability to play a leading or key role in transactions, especially related to investment company reorganizations or mergers.
• Experience with mutual funds, ETFs, closed-end funds, and independent trustees and directors.
• Proven ability to manage multiple matters simultaneously.
• J.D. degree with strong academic credentials.
• Admitted to (or in the process of becoming admitted to) the applicable jurisdiction.

Education:

• Juris Doctor (J.D.) degree from an accredited law school.

Certifications:

• Admission to (or steps taken to become admitted to) the applicable jurisdiction.

Skills:

• Expertise in federal securities laws, including the Investment Company Act of 1940 and the Securities Act of 1933.
• Strong experience with mutual funds, ETFs, closed-end funds, and independent trustees and directors.
• Excellent legal drafting, negotiation, and analytical skills.
• Ability to handle multiple complex matters simultaneously.
• Strong client management and interpersonal skills.
• Effective communication and teamwork abilities.
• High attention to detail and strong organizational skills.

Here is a premier mid-sized law firm, with sophisticated practice in corporate, labor and employment, and litigation. It has one of the most successful and prestigious intellectual property (including patent prosecution and litigation), M&A, finance/commercial lending and investment services (mutual fund, etc.) practices in the nation. With a couple of offices in the East Coast, and a main office in Chicago, this firm is a powerhouse when it comes to technological and financial and finance matters. Its clients range from Fortune 500 corporations, other private and public companies, startups, banks and other financial institutions, securities brokers and dealers, mutual funds, investment advisers, insurance companies, multi-employer benefit plans, manufacturers, universities, school districts, municipalities, utilities, health care institutions, trade and professional associations, not-for-profit organizations, and individuals. Client contact is early, and you are expected to produce and work hard from the first day. Everyone takes their jobs very seriously, but mentorship and guidance is available for those who seek it. The pay is competitive with the largest law firms in Chicago, and the firm provides merit-based bonuses to avoid strict lock-step compensation. Top grades from top law schools are required. For someone who wants to be a part of an innovative, yet prestigious law firm that has superb reputation and sophisticated practice that rivals the large firms in town, this is your place.