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Thursday, September 15, 2016

Staff Attorney (Mutual Fund Industry) (Hauppauge, NY 11788)

Staff Attorney (Mutual Fund Industry) (Hauppauge, NY 11788)


The Staff Attorney is responsible for providing high level legal support for assigned Mutual Fund Clients and serves as the Primary Legal Contact and Board Coordinator for those Clients. Responsible for the ongoing relationship setup, and maintaining and updating required filings with the SEC. Will have current knowledge and experience with the Investment Company Act of 1940, the Investment Advisors Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934.



  • Legal Resource:
  • Will serve as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning the 1940 Act, as well as related securities laws while educating clients with respect to legal, regulatory, and industry developments
  • Working Relationships & Contacts:
  • Will have daily contact with fund administration team regarding board coordination, filings, etc.
  • Frequent contact with clients regarding clarification or exchange of information on service provider agreements, SEC documents, board coordination, etc…
  • Board Coordination:
  • Will coordinate all aspects of board meeting preparation including drafting agendas and resolutions, gathering necessary materials to create online or hard copy board book, and coordinating follow-up on issues raised during board meetings
  • Attends and participates in board and audit committee meetings, provides guidance for fund-related legal matters as needed. Will draft meeting minutes and follow-up reports.  
  • SEC Administration:
  • Keeps abreast of all current SEC requirements and pending new rules or amendments to ensure clients' compliance
  • Files clients’ annual proxy voting record with SEC via EDGAR
  • Prepares and maintains SEC registration statements (e.g. prospectus) and all other related SEC filings, including but not limited to distribution and retrieval of materials, review of material changes and determination of additional filings, submission of regulatory documents, review of accuracy of information, legal compliance review, etc.
  • Legal Documents:
  • Drafts fund service provider-related contracts for client relationships
  • Maintains, updates and files annual Fidelity Bond and Directors & Officers/Errors & Omissions Insurance coverage for all clients
  • Provides guidance to clients regarding updates on regulatory items, prospectus preparation, current fund-related events, etc. via regular client meetings. Creates and maintains complex agenda checklists and calendars for assigned clients
  • Conducts research on various legal and compliance issues
  • Updates and distributes annual questionnaires to officers, nominees and trustees

  • Minimum of a Juris Doctorate from an Accredited Law School
  • State Bar Membership is required
  • Minimum of 1-3 years of law firm experience and/or legal experience required, preferably with a Financial Services Company or Mutual Fund Services Provider
  • Knowledge of the Investment Company Act of 1940, as amended, the Investment Advisors Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934
  • Experience working with mutual fund boards, including attending board meetings, delivering presentations, and covering matters for board consideration preferred
  • Knowledge and experience with reviewing and drafting Fund Service Provider Contracts preferred
  • Ability to exhibit sound and accurate judgments when making decisions
  • Ability to work with a sense of urgency to meet deadlines and address multiple, competing priorities
  • Proficient skills with Microsoft Office Software: Word, Excel, PowerPoint and Outlook
  • Effective problem solving, time management and organizational skills
  • Must have strong English written, listening and verbal communication skills
  • At least 1 year of leadership/mentoring experience preferred.
  • Occasional travel (up to 10%) is required.


This is a permanent, full time position, NOT A CONTRACT. All candidates MUST be local to Hauppauge, L.I., NY. Please do not apply if you are not local, even if you would pay your own relocation. Relocation is NOT offered.


All candidates must be legally eligible to work in the United States without sponsorship and must reside locally. Sorry, NO Visa sponsorships or Transfers at this time. No 3rd Party Recruiters unless you represent a local candidate with ALL of these qualifications


About Me

Merrick, NY, United States
Executive Recruiter with over 30 year's of experience. Currently I'm the Managing Director of BryceNet, Inc., a boutique Executive Search Firm based in Long Island, NY. The firm specializes in Information Technology, primarily in the New York Metropolitan area. I had previously been with CompuSearch/Management Recruiters (Aug 1984 - Mar 2010). While at MRI,I had been the number one Account Executive in the nation numerous times, and I wasconsistently among the top 5 Account Executives nationwide. I was the first and only Account Executive to reach 6 million dollars of production; I had also been named the #2 Account Manager for the Decade of the '90's. I had consistently lead the Woodbury office to its position as the #1 Office in the nation. Prior to that, I served 9 years in the U.S. Marine Corps. While in the Military, I received a full scholarship to college through the Marine Enlisted Commissioning Education Program. Philosophy: I will always do what is in the best interest of everyone involved. I will never try to force a situation if it not a win-win for both the employer and candidate.