Associate Legal Counsel

About this role

SUMMARY The Associate Legal Counsel is responsible for providing a prominent level of Legal Administration services to address the basic legal needs of multiple clients. KEY ACCOUNTABILITIES Prepares client registration statement updates. Prepares other client SEC filings. Prepares and distributes all client board and committee materials. Attending board and committee meetings by telephone or if a client requests, in person, to record notes.

Drafts the minutes of client board and committee meetings. Provides updates to clients on recent regulatory events and conducts basic regulatory research for clients on the Investment Company Act of 1940 that does not involve legal conclusions. Drafts Ultimus contract amendments for services provided to assigned clients. Ensures the completion of (or, if appropriate, completes) all internal compliance related documents for assigned clients, such as filing checklists in an accurate and timely manner.

Ensures that the Legal Administration relationship with each assigned client is strong and that the client’s satisfaction level with the relationship remains high. Prepares relevant filings and documents for certain special regulatory add-on services such as building of new funds/trusts, proxy and information statements and Form N-14. WORKING RELATIONSHIPS Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.

Serves on departmental committees, as requested. As appropriate, maintains regular contact with internal departments and external vendors/relationships with respect to meeting assigned clients’ needs. Engages in direct interaction with team members and may interact, on a limited basis, with clients. May perform other duties as required and assigned. EDUCATION AND EXPERIENCE 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 Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934. Relevant securities laws. Microsoft Office Suite. Adobe Acrobat. SKILLS AND ABILITIES Client service skills with an aptitude for understanding the clients’ basic legal needs and how they are related to the clients’ business needs.