Investment Management Associate

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Investment Management Associate
The candidate will advice regarding federal securities laws and forms, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Prepare and review of regulatory filings for investment company and investment adviser clients. Understand of corporate law and proficiency in drafting basic corporate documents. Provide support to investment company board of directors and coordination with investment company service providers. Preparation of client updates on new regulatory and legal developments. Analysis, critical thought, research, technical writing and client correspondence. Participate in new client development and marketing activities. J.D. from an ABA accredited law school is required. Should have 3+ years of legal practicing experience at a law firm, financial institution, government agency, insurance company, regulator or self-regulatory organization with demonstrated financial services experience. Experience in investment company, investment adviser or broker-dealer representation, such as knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, FINRA regulations, the Securities Act of 1933 and the Securities Exchange Act of 1934 is required. Should be admitted to practice or eligible for admission to practice in the State of Wisconsin.

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