Job purpose:
- The Investment Management Counsel is responsible for providing legal support with respect to WisdomTree’s U.S. investment management business, as well as specific advice on investment products and related legal issues, with particular focus on matters associated with ETFs
- Experience in the Investment Company Act of 1940 is required.
Your Responsibilities:
- Assist in the organization, registration and listing of ETFs under the Investment Company Act of 1940, Securities Act of 1933 and the Securities Exchange Act of 1934
- Prepare and/or review fund registration statements, periodic reports, other regulatory reports and support general fund matters, including coordination with external counsel and service providers
- Assist in maintaining ETF Board governance, including preparing and reviewing agendas, resolutions, minutes and materials prepared internally and by third parties for inclusion in the Board materials, including 15(c) materials
- Promote the legal department’s positive culture, facilitate excellent communication and develop a close working rapport with other WisdomTree departments, service providers and third parties
- Provide advice in addressing legal questions that arise associated with the investment management business, including in developing innovative products to facilitate the growth of WisdomTree’s ETF business and in supporting WisdomTree’s model portfolio business and foreign cross-listings/marketing
- Provide support in implementing new regulations, including the new Fund of Funds rule and Derivatives rule, work across business lines to understand the potential impact to our business and assist in creating/updating policies and procedures
- Work closely with the compliance department, including the review of marketing materials for SEC and FINRA compliance
- Assist in negotiating servicing and other agreements related to the investment management, ETF and indexing businesses.
Skills/Qualifications:
- Approximately 5-10 years of full-time practice in a law firm and/or in-house legal department focused on registered management investment companies (ETFs a plus), including in the Investment Company Act of 1940, Investment Advisers Act of 1940 and related securities and corporate laws
- Strong writing, presentation and communication skills
- Attention to detail and strong organizational skills
- Comfortable interacting with business professionals and external advisors, including in a remote working environment primarily using Microsoft Teams
- Eagerness to work as part of a collaborative team, prioritizing and managing multiple tasks simultaneously
- Desire to increase scope of work and responsibility as needs arise and experience allows, and openness to learn on the job
- Ability to balance legal and business needs in a fast-paced environment with various deadlines
- Independent, entrepreneurial self-starter undaunted by the unpredictable, the unfamiliar or the unstructured.
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