U.S. Bank 1940 Act Attorney in MILWAUKEE, Wisconsin
U.S. Bancorp Fund Services, LLC is seeking an experienced attorney to join the legal group of a growing mutual fund and exchange-traded fund (“ETF”) services business. Responsibilities include, among other things: (1) drafting and reviewing initial open-end, multi-class mutual fund and closed-end fund registration statements to ensure disclosure requirements are met; (2) preparing annual updates to registration statements; (3) ensuring timely and accurate regulatory filings, including registration statement amendments, exchange listing applications, proxy statements and related filings; (4) communicating with U.S. Securities and Exchange Commission (“SEC”) examiners and New York Stock Exchange representatives on behalf of fund clients; (5) taking and drafting board meeting minutes; (6) preparing agendas, resolutions, agreements and other policies and procedures for board meetings, including organization meetings; (7) serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning the Investment Company Act of 1940, as amended, SEC guidance on exemptive relief, as well as related securities laws; and (8) educating clients with respect to legal, regulatory, and industry developments. Ideal candidates will have 6 to 8 years legal experience in the investment management practice of a law firm, mutual fund complex or mutual fund servicing organization and experience with closed-end fund and ETF registration.
Member of WI bar association
Six to eight years legal experience in investment management practice of law firm, mutual fund complex or mutual fund servicing organization
Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations
Excellent verbal and written communication skills
Ability to manage multiple tasks
Proven leadership and supervisory skills
Primary Location: Wisconsin-WI-Milwaukee
Shift: 1st - Daytime
Average Hours Per Week: 40
Requisition ID: 170020155
Other Locations: CA-CA-Glendora
U.S. Bank is an Equal Opportunity Employer committed to creating a diverse workforce.