1940 Act Attorney
Tidal Financial Group
full-time
Posted on:
Location Type: Remote
Location: United States
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About the role
- Provide legal counsel and guidance on all legal matters relevant to SEC-registered investment advisers, investment companies, and fund administration firms.
- Support Tidal clients by drafting registration statements, annual updates, and other required documentation with a focus on ensuring investment strategy descriptions are clear, accurate, and compliant with regulatory requirements.
- Draft principal investment strategies and risk disclosures for Funds that use complex strategies, including those that extensively use derivative instruments.
- Engage in consultative business and investment solution activities to develop and strengthen existing relationships.
- Review, research, interpret, and provide both written and oral guidance on a wide variety of legal issues facing Tidal.
- Prepare filings and documents for new Tidal-provided services, such as creating new trusts and drafting proxy and information statements (and related documentation).
- Perform miscellaneous job-related duties as assigned.
Requirements
- Minimum four years’ experience as a 1940 Act attorney.
- Experience gained at a major U.S. law firm is preferred.
- A J.D. and membership (or anticipated membership) in the bar of at least one state are required.
- Experience and knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
- Experience working exclusively or predominantly in the 1940 Act space is a strong plus.
- Proficiency in written communication skills, including the ability to draft documents using “plain English” principles.
- Proficiency in oral communication skills, whether addressing clients or internal stakeholders.
- Client service skills with an aptitude for understanding clients’ basic legal needs and how they align with their business objectives.
- Ability to organize and prioritize work while coordinating with other team members.
- Ability to manage multiple tasks simultaneously, maintaining careful attention to detail.
- Ability to work with a sense of urgency to meet deadlines and address competing priorities.
Benefits
- None specified 📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score
Applicant Tracking System Keywords
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Hard Skills & Tools
legal counseldrafting registration statementsinvestment strategy descriptionsrisk disclosuresfilings and documents preparationplain English drafting
Soft Skills
written communicationoral communicationclient serviceorganizational skillsprioritizationattention to detailtime managementconsultative skills
Certifications
J.D.bar membership