Investment Services Associate Attorney

A law firm in Miami, FL, is seeking an Investment Services Associate Attorney with 4-7 years of experience in handling legal matters related to registered investment companies, investment advisers, and regulatory compliance under federal securities laws.

The ideal candidate will have experience in leading or playing a key role in transactions, particularly investment company reorganizations or mergers.

Expertise with mutual funds, exchange-traded funds (ETFs), closed-end funds, and independent trustees and directors is essential.

The candidate should possess a J.D. degree with strong academic credentials and be admitted to (or in the process of becoming admitted to) the applicable jurisdiction.

A high number of candidates may make applications for this position, so make sure to send your CV and application through as soon as possible.

Duties :

• Take a leading or key role in transactions involving investment company reorganizations, mergers, and other significant investment activities.
• Provide legal guidance on matters related to mutual funds, ETFs, closed-end funds, and independent trustees and directors.
• Manage multiple legal matters simultaneously, ensuring effective and timely resolution of complex issues.
• Draft, review, and negotiate legal documents related to fund formation, registration, and compliance.
• Advise clients on regulatory and compliance matters under federal securities laws, including the Investment Company Act of 1940 and the Securities Act of 1933.
• Conduct thorough legal research and analysis to support regulatory compliance and transactional strategies.
• Collaborate with clients and internal teams to develop and implement effective legal strategies.
• Stay current with developments in securities laws and regulations affecting investment services.

Requirements :

• 4-7 years of experience with registered investment companies, investment advisers, and regulatory and compliance matters.
• Ability to lead or play a significant role in investment company reorganizations and mergers.
• Experience with mutual funds, ETFs, closed-end funds, and independent trustees and directors.
• Proven ability to manage multiple complex matters concurrently.
• J.D. degree with strong academic credentials.
• Admitted to (or in the process of becoming admitted to) the applicable jurisdiction.

Education :

Juris Doctor (J.D.) degree from an accredited law school.

Certifications :

Admission to (or steps taken to become admitted to) the Florida State Bar.

Skills :

• Expertise in federal securities laws, including the Investment Company Act of 1940 and the Securities Act of 1933.
• Strong experience with mutual funds, ETFs, closed-end funds, and independent trustees and directors.
• Excellent legal drafting, negotiation, and analytical skills.
• Ability to handle multiple complex matters simultaneously.
• Strong client management and interpersonal skills.
• Effective communication and teamwork abilities.
• High attention to detail and strong organizational skills.

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