This is an exciting opportunity to join the legal team and to work closely with business professionals on a broad range of registered traditional funds, investment management and broker-dealer legal and regulatory compliance matters.

This attorney will be handling the preparation of fund registration materials and related filings and documentation, and support for various fund governance matters, including board preparation and meeting.

• Support the Wealth Management arm of the business on all aspects of day-to-day fund, investment management and broker-dealer legal and regulatory compliance matters, including: the preparation, review, filing and maintenance of registration statements and related materials relating to Wealth’s funds and other securities offerings.

• Preparation and review of investment management agreements and related documents including fund compliance policies and procedures - Fund and investment management distribution arrangements

• Preparation and assistance on fund board related matters

• General business contracts preparation and review

• Base salary in low $200K range plus bonus

• Robust and competitive benefits package, including comprehensive health and dental plans, 401(k) employer match and profit-sharing

• Hybrid work schedule- 3 days in the office

• Relocation candidates will be considered; relocation stipend will be provided

• Juris Doctor (J.D.) from an accredited college or university

• Admitted to any state bar association

• Minimum of 3-6 years of legal experience in asset management; working at a law firm and or in-house, representing registered investment funds (mutual funds, ETFs, open-ended funds)

• Strong product and relevant securities laws knowledge: registered traditional funds experience (open-end funds, ETF’s, separately managed accounts

• Strong analytical and problem-solving skills

• Broker-dealer experience is a plus

• Pro-active team player with strong work ethic, collaborative attitude, and professional demeanor

• Ability to work in a fast-paced environment

Title: Senior Associate, Counsel

Location: Boston suburb, Hybrid (3 days in office)

Zip code: 02332

Posting: 510648420