U.S. Bank

1940 Act Attorney

U.S. Bank

full-time

Posted on:

Location Type: Remote

Location: Remote • California • 🇺🇸 United States

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Salary

💰 $139,230 - $163,800 per year

Job Level

SeniorLead

About the role

  • Prepares agendas, resolutions, agreements, policies and procedures and other materials for investment company board meetings and preparing related minutes
  • Serves as a resource on regulations and industry developments for fund clients in support of legal counsel and as a resource for internal related business lines with regard to matters concerning regulation of investment companies and industry developments
  • Responsible for drafting, reviewing and preparing fund registration statements to be filed with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates
  • Drafts, reviews and prepares, supplements, exchange listing applications, exemptive relief applications proxy statements and related filings to be filed with the SEC
  • Communicates with the SEC and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients

Requirements

  • Law Degree
  • Licensed to practice in the applicable jurisdiction
  • Eight or more years of related experience
  • Advanced understanding of investment company regulations
  • Ability to manage multiple tasks simultaneously in a deadline driven environment as well as lead department and organizational special projects
  • Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable
  • Manages the shared resources of the department and plans effective strategies to complete a deliverables and projects simultaneously
  • Strong interpersonal skills to collaborate effectively across multiple functional areas
  • Demonstrated ability to lead and manage teams and complex projects with precision
  • Skilled in coordinating and aligning the efforts of stakeholders from various parts of the organization in cross-functional initiatives, ensuring effective collaboration and timely completion of projects
  • Experience managing people
Benefits
  • Healthcare (medical, dental, vision)
  • Basic term and optional term life insurance
  • Short-term and long-term disability
  • Pregnancy disability and parental leave
  • 401(k) and employer-funded retirement plan
  • Paid vacation (from two to five weeks depending on salary grade and tenure)
  • Up to 11 paid holiday opportunities
  • Adoption assistance
  • Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
draftingreviewingpreparing fund registration statementsfiling with the SECpreparing proxy statementspreparing exchange listing applicationspreparing exemptive relief applicationsregulatory complianceinvestment company regulationslegal research
Soft skills
interpersonal skillsleadershipproject managementcollaborationflexibilityadaptabilitytime managementstrategic planningteamworkcommunication
Certifications
Law DegreeLicensed to practice