Investment Services Associate Attorney

A law firm in New York City, NY, is seeking an Investment Services Associate Attorney with 4-7 years of experience in managing legal matters related to registered investment companies, investment advisers, and federal securities laws. The ideal candidate will have experience leading or playing a key role in transactions, particularly investment company reorganizations or mergers. Expertise with mutual funds, exchange-traded funds (ETFs), closed-end funds, and independent trustees and directors is essential. The candidate must possess 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 advice and guidance 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 up-to-date 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.
• 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 of managing multiple complex matters concurrently.
• J.D. degree with strong academic credentials.
• Admitted to (or in the process of becoming admitted to) the New York State Bar.

Education:

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

Certifications:

• Admission to (or steps taken to become admitted to) the New York State Bar.

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.

This mid-sized, East Coast law firm practices within three general areas of the law: corporate, labor and employment, and litigation. Their clients range from Fortune 500 companies to small businesses and individuals. The firm is structured as a partnership and governed in a democratic manner. Associates have the opportunity to accept as much responsibility as they merit. Their pay structure is competitive and their system of merit-based bonuses allows associates to avoid lock-step compensation. In addition, attorneys strive to help develop the careers of their associates by their open and supportive working atmosphere.