Investment Services Associate Attorney

A law firm in Los Angeles, CA, is seeking an Investment Services Associate Attorney with 4-7 years of experience in handling matters related to registered investment companies, investment advisers, and regulatory and compliance issues under federal securities laws. The ideal candidate will have the ability to play a leading or key role in transactions, particularly investment company reorganizations or mergers, and possess experience with mutual funds, exchange-traded funds (ETFs), closed-end funds, and/or 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 related to investment company reorganizations, mergers, and other significant investment activities.
• Provide legal counsel on matters involving mutual funds, ETFs, closed-end funds, and independent trustees and directors.
• Manage multiple legal matters simultaneously, ensuring effective and timely resolution of complex issues.
• Draft, review, and negotiate legal documents related to fund formation, registration, and compliance.
• 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 thorough legal research and analysis to support regulatory compliance and transactional strategies.
• Collaborate with clients and internal teams to develop and implement effective legal strategies.
• Stay current with developments in securities laws and regulations impacting investment services.

Requirements:

• 4-7 years of experience with registered investment companies, investment advisers, and regulatory and compliance matters.
• Demonstrated ability to lead or play a significant role in investment company reorganizations and mergers.
• Experience with mutual funds, ETFs, closed-end funds, and independent trustees and directors.
• Proven track record in managing multiple complex 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 concurrently.
• Strong client management and interpersonal skills.
• Effective communication and teamwork abilities.
• High attention to detail and strong organizational skills.

This thriving law firm has a strong tradition of maintaining significant relationships with their clients. They employ over 300 attorneys and have seven international and domestic offices. Their Los Angeles office represents clients in a wide range of legal matters including antitrust and trade regulation, government contracts, health care, bank mergers and acquisition strategies, insurance, intellectual property litigation, complex litigation, construction, labor relations, data privacy and security, real estate, employment law, estate planning, transportation, and wage and hour compliance.