Baltimore-based, publicly-traded investment company seeks to hire an experienced general counsel, chief compliance officer, and secretary. The individual will serve as a member of the senior management team. Among other duties, the individual will direct the legal affairs of the company, maintain corporate board and stockholder records, manage and execute the compliance program as required by SEC Rules 38a-1 and 206(4)-7, and manage and work directly with outside law firms.
The position requires extensive familiarity with the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and strong technical skills, with emphasis on knowledge and practical application of federal securities laws, rules, regulations, and procedures. Familiarity with Maryland corporate law and New York Stock Exchange rules and regulations is also preferred.
Experience: 10+ years of relevant experience with the applicable federal laws governing investment companies and investment advisers as a practicing attorney in a law firm or as in-house counsel in the investment management industry; candidates with 10+ years of relevant experience in fund compliance or with the SEC are also sought. Must have an active bar membership in at least one U.S. jurisdiction. Excellent critical thinking, written and oral communication skills, and ability to work collaboratively in a team-based environment are required.