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Provides legal advice and support to the Company on a variety of legal matters, including but not limited to U.S. open and closed-end investment companies, investment advisor, UCITs and public company regulatory compliance, disclosures and filings.
Assists with the preparation of open and closed-end investment companies and UCITs board meeting materials and with approval, registration and ongoing maintenance of open and closed-end investment companies and UCITs.
Stays current on legal rules and legislation, specifically the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable UCITs directives and regulation.
Successful candidate should have a deep background handling day-to-day issues involved in client-facing matters common to independent asset management firms. Derivatives, ISDA and CFTC a plus.
10-15 years of legal experience working at an asset management firm.
JD degree required. State bar admission. 9+ years legal experience.
FPC of Fort Washington (formerly Fortune Personnel Consultants) has been in the executive search business for forty years. The staff at FPC of Fort Washington specialize in the recruitment and placement of attorneys, compliance professionals and other senior executives for law firms and financial institutions. Our clients are located nationwide and we have special expertise in the insurance and investment disciplines.