Interim Securities Counsel

Major, Lindsey & Africa; Boston (MA); Hybrid; USD 107,969 - 153,774; Full time

Job summary

A respected legal recruitment firm is seeking an Interim Securities Counsel for a three-to-six-month assignment. This role involves reviewing and updating SEC compliance documents for mutual funds and ETFs, along with managing legal aspects of fund reorganizations. The ideal candidate has at least eight years of relevant experience, a law degree, and strong command of federal securities laws. Opportunities for hybrid work available for local candidates, while East Coast-based candidates may work fully remote.

Qualifications

• Eight or more years' experience advising mutual fund, ETF, or investment management clients.
• Command of the Investment Company Act of 1940 and Securities Act of 1933.
• Excellent academic and professional credentials.

Responsibilities

• Reviewing mutual fund and ETF prospectuses for SEC compliance.
• Assisting in development and launch of new funds.
• Preparing and reviewing board materials.

Skills

Experience advising mutual funds

Knowledge of SEC compliance

Legal drafting and review

Education

Law degree from accredited school

Job description

Major, Lindsey & Africa’s Interim Legal Talent group has an immediate need for an Interim Securities Counsel.

Overview

Our client seeks a skilled securities attorney for a three-to-six-month assignment.

Company

Our client is a century-old, well-respected financial services institution.

Experience

Eight or more years’ experience advising mutual funds, exchange-traded funds (ETFs), or investment management clients acquired in a top law firm and/or in-house environment.

Location

The client is open to local hybrid candidates who can work in office Tuesday through Thursday and/or fully remote East Coast-based candidates.

Responsibilities Include

• Reviewing and updating mutual fund and ETF prospectuses and statements of additional information (SAIs) to ensure SEC compliance.
• Reviewing and updating mutual fund prospectuses and SAIs for external ’40 Act registered funds sub-advised by the client.
• Reviewing and providing legal guidance on shareholder reports, including tailored shareholder reports.
• Assisting with the development and launch of new funds, including drafting and reviewing related legal documents.
• Managing legal aspects of fund reorganizations, mergers, and liquidations.
• Preparing and reviewing board materials, including resolutions, and supporting documents.
• Attend board meetings and take minutes at same.

Qualifications Include

• Excellent academic and professional credentials including a law degree from a well-respected, accredited national law school and admission to at least one state bar, active and in good standing.
• Eight or more years’ post-law school experience advising mutual fund, ETF, or investment management clients acquired in a top law firm and/or in-house environment.
• Command of the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934.

Pay rate

$95

Information regarding benefits can be found on MLA’s Website on the Consultant Resources Page: https://www.mlaglobal.com/en/consultant-resources

All interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration.

Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws.