Associate Legal Counsel

Job Description:

• Provide legal administration services addressing the basic legal needs of multiple clients.
• Prepare client registration statement updates and other client SEC filings.
• Prepare and distribute client board and committee materials.
• Attend board and committee meetings by telephone or, when requested, in person, to record notes.
• Draft minutes of client board and committee meetings.
• Update clients on recent regulatory events and conduct basic regulatory research on the Investment Company Act of 1940 without providing legal conclusions.
• Draft Ultimus contract amendments for services provided to assigned clients.
• Ensure completion of internal compliance documents, including filing checklists, accurately and timely.
• Maintain strong Legal Administration relationships and high client satisfaction.
• Prepare filings and documents for special regulatory add-on services, including new funds/trusts, proxy and information statements, and Form N-14.
• Mentor associates through instruction, coaching, on-the-job experiences, modeling effective practices, and advising on methods.
• Serve on departmental committees as requested.
• Maintain contact with internal departments and external vendors/relationships to meet client needs.
• Interact directly with team members and, on a limited basis, with clients.
• Perform other assigned duties as required.

Requirements:

• A J.D. and membership (or anticipated membership) in the bar of at least one state.
• 0-3 years of experience as a 1940 Act attorney.
• Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and relevant securities laws.
• Proficiency with Microsoft Office Suite.
• Proficiency with Adobe Acrobat.
• Client service skills and aptitude for understanding clients’ basic legal and business needs.
• Proficiency in written communication, including explaining legal principles in plain English.
• Legal research and legal analysis skills.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, and meticulous approach with commitment to quality, efficiency, and effectiveness.
• Personal integrity, responsibility, and accountability.
• Ability to use time and information effectively.
• Ability to solve problems and make decisions.
• Clear and concise written and oral presentation skills.
• Active listening and open exchange of ideas.
• Ability to identify, arrange for, and obtain resources to accomplish goals.
• Ability to establish and develop effective working relationships.
• Ability to adapt priorities and deadlines to changing conditions and obstacles.